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^ NORTH CAROLINA 

REGISTER 



VOLUME 13 • ISSUE 1 • Images 1 - 170 " 



PUBLISHED BY 

The Office of Administrative Hearings 
Rules Division 
PC Drawer 27447 
Raleigh, NC 27611-7447 
Telephone (919) 733-2678 
Fax (919) 733-3462 



July 1, 1998 



.\- 



^ ^. 



.\^ 



IN THIS ISSUE 

Executive Order 

Administrative Hearings, Office of 

Agriculture 

Architecture, Board of 

Certified Public Accountants Examiners 

Cosmetic Art Examiners 

Cultural Resources 

Electrical Contractors 

Environment and Natural Resources 

General Contractors 

Health and Human Services 

Insxirance 

Justice ,. — »«-,»,,.»...„»«, ^ -^m i< 

Optometry '" ^^ ' ' 

Pharmacy 

Physical Therapy Examiners 

Pliunbing, Heating & Fire Sprinkler Contractors 

Professional Engineers & Land Surveyors 

Public Education ; " ' 

Real Estate Appraisal Board 

Revenue 

Secretary of State 

Substance Abuse Professionals, Certification Board 

Transportation 

Rules Review Conimission 

Contested Case Decisions 



€^^' 



RECEIVED 
JUL 2 2 1998 

KATHRINE R. EVERETT 
I AW LIBRARY 



RECE/\/Pn 



to«o 



JUL 2 



'CATHR/Nt R t^fc^,i 



This publication is printed on permanent, acid-free paper in compliance with G.S. 125-1 1. 13 



For those persons that have questions or concerns regarding the Administrative Procedure Act or any of its 
components, consult with the agencies below. The bolded headings are typical issues which the given I 
agency can address, but are not inclusive. ^ 

Rule Notices. Filings. Register. Deadline s. Copies of Proposed Rules, etc. 

Office of Administrative Hearings 

Rules Division 

Capehart-Crocker House ^^^^--'r:fT.rl9 » 9) 733-2678 

424 North Blount Street "^ 

Raleigh, North Carolina 27601-2817 



>19)733-34^1fAX 



/ 



contact: Molly IVfasich, Director APA Sovices 
/ Ruby Creech, Publications Coordinator 

Fiscal Notes & Economic Analysis '^^^ 

j , Office of State Budget and Management 
'fl 16 West Jones Street 
iRaleigh, hJprth Carolina 27603-8005 

1 1 I contact: Mark Sisak, Economist III 
Knna Tefft, Economist II 



mmasich@oah.state.nc.us 



rcreech@oah.state.nc.us 



(919)733-7061 
(919) 733-0640 FAX 

msisak@osbm.state.nc.us 
atefft@osbm.state.nc.us 










tRule Review and Legal Issues 

\ % \ Rules Review Commission 
>l ^ 1307 Glenwood Ave., Suite 159 
Raleigh, North Carolina 27605 



conta<± Joe DeLuca Jr., Staif Director Counsel 
W Bobby Bryan, Staff A^wn^ 



x«fc«'iwlWlV«^)S?«v.v.■/^^^m« 



(919)733-2721 
(919) 733-9415 FAX 



Legislative Process Concerning Rule Making 

Joint Legislative Administrative Procedure Oversight Committee 
545 Legislative Office Building^ ^ %J' Vs*^ 

300 North Salisbury Street '^^^^^^^^^,^ (919)733-2578 

Raleigh, North Carolina 27611^^ ^"---^-—(^19) 715-5460 FAX 



contact: Mary Shuping, Staff Liaison 



mai:>s@ms ncga.state.nc.tts 



1>^ 



^ - 



County and Municipality Government Questions or No tification 

NC Association of County Commissioners 

2 1 5 North Dawson Street (9 1 9) 7 1 5-2893 

Raleigh, North Carolina 27603 



contact: Jim Blackburn or Rebecca Troutman 

NC League of Municipalities 
215 North Dawson Street 
Raleigh, North Carolina 27603 

contact: Paula Thomas 



(919)715-4000 



-*~«^ 





This publication is printed on permanent, acid-free paper in compliance with G.S. 1 25-1 1. 13 



NORTH CAROLINA 
REGISTER 



IN THIS ISSUE 




• 



Volume 13, Issue 1 
Pages 1-170 



July 1, 1998 



This issue contains documents officiail\ filed 
tlirouKh June 10. 1998. 



Office of Administrative Hearings 

Rules Division 

424 North Blount Street (27601 ) 

PO Drawer 27447 

Raleigh. NC 2761 1-7447 

(919)733-2678 

FAX (919) 733-3462 



Julian Mann III. Director 

Camille Winston. DeputN Director 

Molly Masich, Director of APA Services 

Ruby Creech. Publications Coordinator 

Jean Shirle\. Editorial Assistant 

Linda Dupree. Editorial Assistant 



I. EXECITIVE ORDERS 

Executive Order 136 1 

II. Rl 1 F-MAKINC PROf EEDINCS 

Environment and Natural Resources 

Wildlife Resources 3 

Insurance 

Long-Term Care 2-3 

Manufactured Housing Board 2 

Medicare Supplement Model Standards 2 

Licensing Boards 

PhaniiacN . Board of 3 

Real Estate Appraisal Board 3-4 

III. PROPOSED RUES 

Environment and Natural Resources 

Coastal Resources Commission 26-31 

Health Semces 31-41 

Soil & Water Conserv ation Commission 2.^-26 

Health and Human Services 

Medical Assistance 5-6 

Justice 

Criminal .lustice Education & Training 6-25 

Transportation 

High\\a\s. Di\ ision of 41-42 

l\. APPRON ED Rl LES 43 - 160 

Administrative Hearings, Office of 

Civil Rights Di\ ision 
Agriculture 

Structural Pest Control 
Cultural Resources 

Archives & Historv 

Battleship Commission 
Environment and Natural Resources 

Coastal Management 

Departmental Rules 

Environmental Management 

Marine Fisheries 

W ildlile Resources 
Healtli and Human Services 

Facilitv Services 

Medical Assistance 
Insurance 

Life and Health Division 
Licensing Boards 

Architecture. Board of 

Certified Public Accountants Examiners 

Cosmetic Art Examiners 

Electrical Contractors 

General C onlractors 

Optometrv 

Pharmacv. Board of 

Phvsical Therapv Examiners 

Plumbing. Heating & Eire Sprinkler Contractors 

Professional Engineers & Land Sur\e\ors 

Substance Abuse Professionals. Lertitlcation Board 
Public Education 

Adminisiration. Standards Board for Public School 

ElemenlaPi and Secondarv Education 
Revenue 

Corporate Income & Franchise Tax 
Secretarv of State 

Securities Division 
\ . Rl LES REVIEW COMMISSION 161-163 

\ I. CONTESTED CASE DECISIONS 

Index to AL.l Decisions 164-165 

Text of Selected Decisions 

98 DS 1 03 1 6 1 66 - 1 6Q 

VII. ClMl LATIN E INDEX 1-43 



\orih Carolina Register is piibhshed senn-monthl> tor $1'''5 per \ear b\ the Office of Administrative Hearings. 424 North Blount Street. Raleigh. NC 
27601 , .Application lo mail at Periodicals Rates is pending at Raleigh. NC POSTMASTER Send .Address changes to the \orth Caruliini Register. 
P0 1)raucr;"44-. Ralcish NC2"hl 1-744^ 



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^m 



EXECUTIVE ORDERS 



EXECUTIVE ORDER NO. 136 

GOVERNOR'S ADVISORY COUNCIL 

ON HISPANIC/LATINO AFFAIRS 

WHEREAS, the Hispanic/Latino community plays a vital 
role in the economy of North Carolina; and 

WHEREAS. North Carolina has experienced a tremendous 
increase of Hispanic Latino residents into the state; and 

WHEREAS, the Hispanic/Latino community is contributing 
to the economic development and progress of the state b> 
working in different sectors of the labor market and b\ 
participating in civic affairs; and 

WHEREAS. man\ unique challenges confront the 
Hispanic/Latino community as they attempt to access housing, 
health care, and emplo>ment services; and 

WHEREAS, the state should promote and encourage 
collaboration and collaborative planning and deliver}' of 
services among state agencies that serve the Hispanic/Latino 
community. 

NOW, THEREFORE. b\ the power vested in me as 
Governor bv the lav\s and Constitution of North Carolina. IT 
IS ORDERED: 

Section 1. Establishment 

The Governor's Advison Council on Hispanic'Latino 
Affairs is hereby established. It shall be composed of fifteen 
voting members who shall serve at the pleasure of the 
Governor. In addition to the tlfteen appointed members, the 
following c their designees shall serve as ex-officio. non- 
voting members: 

a. The Secretarv of the Department of Administration; 

b. The Secretary of the Department of Health and 
Human Services; 

c. The Secretarv' of the Department of Crime Control 
and Public Safety; 

d. The Governor's Senior Advisor on Community 
Affairs; 

e. The Commissioner of the Division of Motor 
Vehicles; and 

f The Chairman of the Emplovment Security 
Commission. 
The following individuals, or their designees, are invited to 
serve as ex-officio. non-voting members of the Advisory 
Council: 

g. The Commissioner of the North Carolina 
Department of Agriculture and Consumer Services; 
h. The Commissioner of Labor; 
i. The Superintendent of Public Instruction; and 
j. The Honorary Consul of Mexico. 
The Governor shall appoint a Chair from among the 
Advisorv Council's voting members. 



in performing its duties. 

Section 3. Duties 

The Advisory Council shall have the following duties; 

a. Advise the Governor on issues relating to the 
Hispanic/Latino community in North Carolina; 

b. Support state efforts toward the improvement of 
race and ethnic relations; 

c. Provide a forum for the discussion of issues 
concerning the Hispanic/Latino community in 
North Carolina; 

d. Promote cooperation and understanding between 
the Hispanic/Latino community, the general public, 
the state, federal and local governments; and 

e. Perform other duties as directed by the Governor. 

Section 4. Administration 

Support staff for the Advisory Council shall be provided by 
the Governor's Office and other Cabinet departments as 
directed by the Governor. Members shall serve without 
compensation, but may receive reimbursements, contingent 
upon the availabilitv of funds, for travel and subsistence in 
accordance v\ith North Carolina General Statutes §§ 138-5, 
138-6. and 120-3.1. 

This Executive Order is effective immediately. 

Done in the Capital Citv' of Raleigh. North Carolina, the 5"' 
dav of June, 1998. 



Section 2. Meetings 

The Advison. Council shall meet quarterly or at the call of 
the Chair. The Chair shall set the agenda for the Advi.sorv' 
Council meetings. The Advisor> Council may establish such 
committees or other working groups as are necessai-y to assist 



13:1 



NORTH CAROLINA REGISTER 



July 7. 199H 



RiLE-MAKI\G PROCEEDINGS 



A Xdiicc nt Riilc-Duikiiiii Pmcccciiiiiis is a sIliIciuciu (ifsuhject iuciIIlt af ihe agenty's proposed rule making. The agency 
luiisi publish a notice of the sutiject mailer for public commenl al leasl 60 days prior lo publishing the proposed text of a 
rule. Publication of a lemporaiy rule serves as a Sotice of Rule-making Proceedings andean be found in the Register under 
the section heading of Temporary Rules. .4 Rule-making .Agenda published by an agency sen-es as Rule-making Proceedings 
and can be found in the Register under the section heailing of Rule-making .-Igendas. Staiuloiy reference: G.S. 1 50B-21 .2. 



TITLE 1 1 - DFPARTIMENT OF INSURANCE 

CHAPTER 8 - ENGINEERING AND 
BL ILDING CODES DIVISION 

TV Tolice of Riile-makiiifi Proceedings is hereby given by the 
lySorih Carolina Maiufaclurcd f-fousing 

Board/Department of Insurance in accordance with G.S. 
150B-21.2. The agency shall subsequently publish in the 
Refjister the text of the rule(s) it proposes to adopt as a result 
of this notice of rule-making proceedings and any comments 
received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

/ / NC.4C H .0900 - Other rules may be proposed in the course 
of the rule-making process. 



Authority for the rule-making: 

I45-I4i.]lihi 



G.S. I-I3-N3-I0(b)(4t: 



course of the rule-making process. 

Authorit> for the rule-making: G.S. 5fi-54-l5 

Statement of the Subject Matter: Federal law rcijuires thai 
the stale's regulaloiy program enforce the standards and 
requirements set forth in the i\AJC Medicare Supplement 
Model Standards. 

Reason for Proposed Action: PL. 105-33 — Balanced 
Budget. Act of 199' (42 U.S.C. Section 1395 et.seq.) Federal 
hnv requires state medicare supplement rules lo adopt N.4IC 
.Medicare Supplement Insurance Minimum Standards .Model 
Regulations. This rule making will keep these consistent. 

Comment Procedures: // ritlen commeius sfiould be sent to 
Theresa Shackelford. North Carolina Departmeni of 
Insurance. Life & Health Division. P.O. Box 2638'. Raleigh. 
NC2-'60f 1919) '33-5060. 



Statement of the Subject Matter: Rules lo establish 
requirements ct procedure for administration of exam for 
applicants for maimfactured housing set-up contractor 
licenses; rules whicli would put in age requirement for 
licensing: definitions of what constitutes "selling": clarifies 
provision on unfair trade practice: revises rule which 
prohibits Board from taking licensing action because buyer 
has atty: changes in way Board's staff handles issuance ct- 
renewal of licenses. 

Reason for Proposed Action: Rules need to be updated and 
clarified. 

Comment Procedures: ll'riiicn comments should be sent lo 
Patrick Walker, co A'.C Department of Insurance. 401 A'. 
Boylan Avenue. Raleigh. NC 2'603. (919) '33-3901. 



W K K K X K W 



■K v: -K K -K ti 



CHAPTER 12 - LIFE AND HEALTH 
DIVISION 

A Totice of Rule-making Proceedings is hereby given by the 
1 V Departmeni of Insurance in accordance with G.S. 
1 50B-21.2. The agency shall subsequently publish in the 
Register the text of the rule(s) it proposes to adopt as a result 
of this notice of rule-making proceedings and any comments 
received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

// \CAC 12 OSOO - Other rules may be proposed in the 



CHAPTER 12 - LIFE AND HEALTH 
DIVISION 

A Totice of Rule-making Proceedings is liereby given by the 
1 V Department of Insurance in accordance with G.S. 
150B-21.2. The agency shall subsequently publish in the 
Register the text of the rule(s) it proposes to adopt as a result 
of this notice of rule-making proceedings and any comments 
received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

// XCAC 12 .1000 - Other rules may be proposed in the 
course of the rule-making process. 

Authority for the rule-making: G.S. 5S-55-30ia) 

Statement of the Subject Matter: Long-Term Care 
Insurance — contains standard definitions: disclosure 
statements: accelerated life rider standards: suitability- 
standards and nonfoifeiture option. 

Reason for Proposed Action: These changes are needed to 
reflect S.ilC changes in Long-Term Care .Model Regulations 
— enables long-term care providers to be subject to simitar 
rules in most stales. 

Comment Procedures: Written comments should be sent lo 
Theresa Shackelford, .\orih Carolina Departmeni of 
Insurance. Life iK- Health Divisl(vi P.O. Box 2638'. Raleigh. 



\ORTH CAROLINA REGISTER 



^^ 



July 1, 1998 

mgrnm 



13:1 



RULE-MAKING PROCEEDINGS 



NC 27601. (919) 733-5060. 



TITLE ISA - DEPARTMENT OF ENVIRONMENT 
AND NATURAL RESOURCES 

CHAPTER 10 - WILDLIFE RESOURCES 
AND WATER SAFETY 

SUBCHAPTER IOC - INLAND FISHING 
REGULATIONS 

A Totice of Rule-making Proceedings is hereby given f^y llie 
ly Norlli Carolina Wildlife Resources Commission in 
accordance with G.S. 150B-21.2. The agency shall 
subsequently publish in the Register the text of the rule(s) it 
proposes to adopt as a result of this notice of rule-making 
proceedings and any comments received on this notice. 

Citation to Existing Rules Affected b> this Rule-Making: 

15.4 SC.4C IOC .03(10. .0400 - Other rules may he proposed 
in the course of the rule-making process. 

Authority for the rule-making: G.S. 1 1 3-1 34: 11 3-2''2.2: 
113-273; 113-275: 113-2^6: 113-2-6.1. 113-292: 113-302: 
113-304: 113-305 



in the course of the rule-making process. 

Authority for the rule-making: G.S. 90-18.1; 90-18.2; 90- 
85.3: 90-85.6: 90-85.21: 90-85.22; 90-85.24 

Statement of the Subject Matter: Notice is hereby given in 
accordance with G.S. 150B-21.2 that the North Carolina 
Board of Pharmacy (Board) will consider adopting rules, 
repealing rules, or amending rules to define the meaning of 
the term "duplicate" as used in G.S. 90-85.24 and to change 
the personal appearance requiretnents for issuance of original 
permits, device and medical equipment permits, or prior to 
approval for dispensing. 

Reason for Proposed Action: 

• To define term "duplicate" as used in G.S. 90-85.24. 

• To change the personal appearance requirements for 
issuance of original permits, device and medical equipment 
permits, or prior to approval for dispensing by a nurse 
practitioner or physician's assistant. 

Comment Procedures: If'ritten comments may be submitted 
on the subject matter of the proposed rule-making to Dcnid R. 
Work. Executive Director of the Board at the Board's office. 
The Board's address is PO Box 459. Carrboro. NC 2-510- 
0459. 



Statement of the Subject Matter: 

Rciulations. Game Fish & Nongamc Fish. 



Inland Fishing 



Reason for Proposed Action: To set amend the rules for 
inland game fish and nongame fish which is necessaiy to 
manage and conserve the resource. The Wildlife Resources 
Commission ma}- adopt this rule as a temporaiy rule pursuant 
to S.L 199~-0403 following this abbreviated notice. 

Comment Procedures: The record will be open for receipt 
oj written comments from July 1. 1998 to September 1. 1998. 
Such written comments must he delivered or mailed to the 
North Carolina Wildlife Resources Commission. 512 N. 
Salisburv Street. Raleigh. NC 2-604-1 188. 



TITLE 21 - OCCUPATIONAL LICENSING 
BOARDS 

CHAPTER 46 - BOARD OF PHARMACY 

TV Totice of Rule-making Proceedings is hereby given by the 
1 V North Carolina Board of Pharmacy in accordance with 
G.S. 150B-21.2. The agency shall subsequently publish in the 
Register the text of the rule(s) it proposes to adopt as a result 
of this notice ef rule-making proceedings and any comments 
received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

21 NC.4C 46 .131- and . 1606 - Other rules may be proposed 



CHAPTER 57 -REAL ESTATE APPRAISAL 
BOARD 

SUBCHAPTER 57A - LICENSING, 
CERTIFICATION AND PRACTICE 

TV Totice of Rule-making Proceedings is hereby given by the 
J. V .\orth Carolina .4ppraisal Board in accordance with 
G.S. 15()B-21.2. The agency shall subsequently publish in the 
Resist er the text of the rule(s) it proposes to adopt as a result 
of this notice of rule-making proceedings and any comments 
received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

21 NC.4C 5^A .0101 - .0102. .0201 - .0203. .0205 - .0206. 
.0208. .0301 - .0306. .0401 - .0405. .0407. .0501 - Other rules 
may be proposed in the course of the rule-making process. 

Authority for the rule-making: G.S. 93E-1-10 

Statement of the Subject Matter: RevieM' of current rules 
indicates a need to implement rules regarding the addition of 
trainee status to those licensed by the .4ppraisal Board, and 
to come into compliance with changes in qualifications on the 
federal level for trainees and appraisers. 

Reason for Proposed Action: G.S. 93E-1. the North 
Carolina .4ppraisers .4ct. was amended in 1995 to add the 



13:1 



NORTH CAROLINA REGISTER 



July J, 1998 



RULE-MAKING PROCEEDINGS 



categoiy of registered trainee to those licensed by the 
Appraisal Board, but the rules M'ere not amended to reflect 
that change. There has been a change in the qualifications in 
the four categories of licensees and there is a need for the 
Board to come into compliance Mith the requirements of the 
Appraiser Qualifications Board of the Appraisal Foundation, 
in accordance with Title XI of the U.S. Code. 

Comment Procedures: Written comments should he directed 
to A. Melton Black. Jr.. Executive Director. North Carolina 
Appraisal Board PO Box 20500. Raleigh. NC 2^619-0500. 



I 



NORTH CAROLINA REGISTER July U 1998 



13:1 



-,i,iv~i.jiiuuyuvilUMluJU«IMWIJ[l»IIIHUIII]limUillllll.JUMIlUllBl««Mlin^Bi 



PROPOSED RULES 



This Section coiitauis the text of proposed rules. At least 60 Jays prior to the publication of text, the agency published a 
Notice of Rule-making Proceedings. The agency must accept comments on the proposed rule for at least 30 davs from the 
publication date, or until the public hearing, or a later date if specified in the notice by the agency. The required comment 
period is 60 days for a rule that has a substantial economic impact of at least fire million dollars (S5. 000. 000 1. Statutory 
reference: U.S. 1508-21.2. 



TITLE 10 - DEPARTMENT OF HEALTH 
AND HUMAN SERVICES 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the DHHS - Division of Medical Assistance intends 
to amend the rulels) cited as 10 NC.4C 26B .0103: 10 NCAC 
26M.0201-.0203: and adopt the rule cited as 10 NCAC 26M 
. 0204. Notice of Rule-making Proceedings was published in 
the Register on March 16. 1998 for 10 NC.4C 26B .0103 and 
September 15. 199' for 10 NCAC 26M .0201-0204. 

Proposed Effective Date: April 1. 1999 

A Public Hearing will be conducted at 1:30 p. tn. on July 30. 
1998 at the Kirby Building. 1985 Umstead Drive. Room 132. 
Raleigh. NC. 

Reason for Proposed Action: 

10 SCAC26B .0103 - The term used in this rule is "certified" 
but not "Medicare certified. " Since North Carolina does not 
have a separate Medicaid certification, the term "certified" 
refers to Medicare certification. As a technical amendment. 
Medicare is being inserted to read "Medicare certified. " 
10 SCAC 26M .0201 -.0204 - These proposed changes Mill 
more clearly describe the Department's HMO/risk contracting 
programs. Procedures for contracting with DMA and 
coverage issues, including recipient categories that are 
eligible for enrollment, geographic areas where programs 
met}- operate and services that are covered, are addressed in 
more detail. 

Comment Procedures: Written comments concerning these 
rule-making action, must be submitted by August 14. 1998 to 
Portia W. Rochellc. Rule-making Coordinator. Division of 
Medical .Assistance. 1985 Umstead Drive. Raleigh. NC 27603. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. These Rules do 
not ha\-e a substantial economic impact of at least five million 
dollars iS5.000.OOOi m a 1 2-month period. 

CHAPTER 26 - MEDICAL ASSISTANCE 

SUBCHAPTER 26B - MEDICAL ASSISTANCE 
PROVIDED 

SECTION .0100 - GENERAL 

.0103 HOME HEALTH SERVICES 

Home health services are provided bv Medicare certified 



home health agencies under a plan of care authorized by the 
patient's physician. 

Authorities 108A-25(bl: 108.4-54. 

SUBCHAPTER 26M - MANAGED CARE AND 
PREPAID PLANS 

SECTION .0200 - PREPAID PLANS 

.0201 PROGRAM DEFINITION 

F e d e ralK qualifi e d H e alth Maint e nance Organizations 
(HMO s ) and State licensed and c e nit'i e d HMOs ar e e ligible 
to e nt e r contracts with th e Division of M e dical Assistanc e 
for e nrollment of M e dicaid e ligibl e individuals. 

The Division of Medical Assistance (DMA) contracts with 
FederalK qualified Health Maintenance Organizations 
(HMOs) and State licensed and certified HMOs to provide 
and coordinate medical services for certain Medicaid eliaibles. 
Prior to DMA awardins: a contract to an HMO, the HMO must 
subinit an application m which h demonstrates hs abilin to 
meet aj] contract specifications. The counties or regions 
seic .ted for program operation are determined by the Division 
of Medical Assistance. 

Authority G.S. 108A-25(b). 

.0202 ENROLLMENT 

Each contract w i ll d e fin e e ligible enroll ee s and s e rvice 
ar e as, according to th e provi s ions in 1 2 CFR 13 I. Subpart C. 
which is included bv r e f e r e nc e , including anv' subsequent 
am e ndm e nts. Copi e s of th e cit e d r e gulation can be obtained 
from th e Sup e rint e nd e nt of Docum e nts. U. S. Government 
Printing Offic e . Washington. D. C. 20102 at a cost of twenty 
on e dollars (S2 1.00). 

(a) Enrollment js voluntary in ail service areas with the 
exception of Mecklenburg County. In Mecklenburg County . 
most categories of eligibles are mandated to enroll with an 
HMO. 

(b) Each contract shall define eligibles and service areas, 
according to the provisions in 42 CFR 434. Subpart C. which 
js hereby incorporated by reference including subsequent 
amendments and editions. This material js available for 
inspection at the Department of Health and Human Services. 
Division of Medical Assistance. 1985 Limstead Drive. 
Raleigh. North Carolina. Copies of the cited regulation may 
be obtained from the Superintendent of Documents. I'.S. 
Government Printing Office. Washington. DC 20402 at a cost 
of twenty-one dollars ($21.00). 

Authority G.S. 108A-25(h). 



13:1 



NORTH CAROLISA REGISTER 



July I. J 998 



PROPOSED RULES 



.0203 ACCESS TO CARE 

HMO e nroll oG S will r e c e ive recovered h e alth car e s e rvic es 
that ar e provid e d b\ th e HMO or its s ubcontractors. — The 
Div i sion of M e dical Ar . si s tanc e has th e authority to d e ny 
paym e nt tor cov e r e d s e rv ic e s not provid e d nor authoriz e d by 
th e HMO. 

(a) HMO members shall receive all in-plan health care 
services from their HMO or jts subcontractors, e.xcept: 



£2} 
£3J 



in the case of emergencies: 

family planninu supplies and services: and 

diatznosis. treatment. and counselin^ for 

tuberculosis. sexualK transmitted diseases and 

HIV. 



In-plan and out-of plan services are listed jn the risk 
contract between the HMO and DMA. 

(b) HMO members ma\ receive out-of- plan benefits from 
any provider who accepts fee-for-service Medicaid. 

(c) The Division of Medical .'\ssistance has the authorit^ to 
deny pavment for out-of-plan services that have not been 
provided accordine to Medicaid policy and procedures. 

Authority G.S. lO.SA-2.Vhl. 

.0204 MEMBER COMPOSITION 

(a) No more than 75 percent of an HMO's membership 
shall be Medicaid recipients or Medicare beneficiaries. 

(b) The Diy ision of Medical Assistance may arant a waiver 
to an HMO for up to three years, dependent upon the HMO's 
demonstration of aood faith efforts to meet the 75/25 goal. 



Good faith efforts are marketing and other activities aimed at 
achieving an HMO membership y\hich includes no more than 
75 percent Medicaid recipients or Medicare beneficiaries, 
(c) Guidelines tor obtainin g a \\ai\ er are as follows: 

( 1) The request shall be made in vvriting to the Di\ ision 
of Medical Assistance at the beginning of each 
contract year. 

(2) The HMO shall report to the Division its progress 
toward attaining 25 percent commercial 
membership, if the Division grants the waiver. 

(3) The report shall be submitted in writing to the 
Division vyithin the last 30 davs of the contract 
year. 

(4) The HMO shall request a y\ai\er for each of the 
remaining rv\o contract years, if needed, during the 
last 30 days of the preceding contract y ear. 

Authority G.S. l(hSA-2.vh). 



TITLE 12 - DEPARTMENT OF JUSTICE 

Notice i.s hereby given in aceorJuiiee witit G.S. 15()B-21 .2 
that the North Carolina Criminal Justice Education and 
Training Standards Commission intends to amend the ridels) 
cited as 12 \CAC 9A .0103: 9B .0101. .02I0-.0215. .0218- 
.0222. .0301. .0309-.0311. 0404. .0408-.0409. .0414. .0416: 
9C .030S. ,\otice of Rule-making Proceedings ^\as published 



in the Register on May 1. 1998. 

Proposed Effective Date: April 1. 1999 

A Public Hearing will he conducted at 9:00 a.m. on .August 
20. 199S at the Sorth Carolina Justice Academy. Western 
Campus. Edneyville. Sorth Carolina. 

Reason for Proposed Action: The Sorth Carolina Criminal 
Justice Education and Training Standards Commission has 
authorized rule-making authorit}' to amend/adopt numerous 
administrative rules in order to better define the itiinimum 
employment and training standards that regulate the criminal 
justice officer profession in this State. .Additionally, 
technological improvements in Speed Measuring Instruments 
(radar. TDS. laser) hcn-e resulted in a pressing need to cmiend 
the Commission's SMI rules. 

Comment Procedures: .Any person Interested in this rule- 
making proceeding may present oru! or written commetits. 
relevant to the above-stated subject matter for a period of 60 
days from this tiotice. Written comments should be directed 
to Scott Periy. Deput}- Director, at the Criminal Justice 
Standards Division which is located in G-25. Old Education 
Buildifig. 114 West Edenton Street PO Drawer 149. Raleigh. 
Sorth Carolina 2''602. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. These Rules do 
not have a substantial economic impact of at least five million 
dollars lS5.000.000) in a 1 2-month period. 

CHAPTER 9 - CRIMINAL JUSTICE EDUCATION 
AND TRAINING STANDARDS 

SUBCHAPTER 9A - CRIMINAL JUSTICE 

EDUCATION AND TRAINING STANDARDS 

COMMISSION 

SECTION .0100 - COMMISSION ORGANIZATION 
AND PROCEDURES 

.0103 DEFINITIONS 

The folloyving definitions apply throughout this Chapter, 
except as modified in 12 NCAC 9A .0107 for the purpose of 
the Commission's rule-making and administrative hearing 
procedures: 

(1) "Agency" or "Criminal Justice Agency" means 
those state and local agencies identified in G.S. 
17C-2(b). 

(2) "Alcohol Lavy Enforcement Agent" means a lavs 
enforcement officer appointed by the Secretary of 
Crime Control and Public Safety as authorized by 
G.S. I8B-500. 

(3) "Commission" means the North Carolina Criminal 
Justice Education and Training Standards 
Commission. 

(4) "Commission of an offense" means a finding by the 



(. 



AORTH CAROLIXA REGISTER 

""»'■■«"" llllllllllllllll iiiiiiiii iLUMiuiamiiuiwi 



July 1. 199H 

msmm 



13:1 



PROPOSED RULES 



It 



North Carolina Criminal Justice Education and 
Training Standards Commission or an 
administrative body that a person performed the 
acts necessary to satisfy the elements of a specified 
criminal offense. 

(5) "Convicted" or "Conviction" means and includes, 
for purposes of this Chapter, the entr>' of: 

(a) a plea of guilt>'; 

(b) a verdic: or finding of guilt by a jury, judge, 
magistrate, or other duly constituted, 
established, and recognized adjudicating 
body, tribunal, or official, either civilian or 
military: or 

(c) a plea of no contest, nolo contendere, or the 
equivalent. 

(6) "Correctional Officer" means an\ emplovee of the 
North Carolina Department of Correction who is 
responsible for the custody or treatment of inmates. 

(7) "Criminal Justice Officer(s)" means those officers 
identified in G.S. l7C-2{c) and further includes 
probation and parole intake officers: 
probation/parole officers-surveillance; 
probation/parole intensive officers; and, state parole 
case analysts. 

(8) "Criminal Justice System" means the whole of the 
State and local criminal justice agencies described 
in Item ( 1) of this Rule. 

(9) "Criminal Justice Training Points" means points 
earned toward the Criminal Justice Officers' 
P' lessional Certificate Program h\ successful 
completion of commission-approved criminal 
justice training courses. Twent> classroom hours of 
commission-approved criminal justice training 
equals one criminal justice training point. 

( 1 0) "Department Head" means the chief administrator 
of any criminal justice agencv and specificalK 
includes an\' chief of police or agenc\ director. 
"Department Head" also includes a designee 
formally appointed in writing b\ the Department 
head. 

(11) "Director" means the Director of the Criminal 
Justice Standards Division of the North Carolina 
Department of Justice. 

(12) "Educational Points" means points earned toward 
the Professional Certificate Programs for studies 
satisfactoriK completed for semester hour or 
quarter hour credit at an accredited institution of 
higher education. Each semester hour of college 
credit equals one educational point and each quarter 
hour of college credit equals two-thirds of an 
educational point. 

(13) "Enrolled" means that an individual is currentK 
actively participating in an on-going formal 
presentation of a coinmission-accredited basic 
training course which has not been concluded on 
the da\ probationar> certification expires. The temi 
"currently actively participating" as used in this 
definition means: 



(a) for law enforcement officers, that the officer 
is then attending an approved course 
presentation averaging a minimum of twelve 
hours of instruction each week; and 

(b) for Youth Services and Department of 
Correction personnel, that the officer is then 
attending the last or final phase of the 
approved training course necessarv for fulK 
satisfying the total course completion 
requirements. 

(14) "High School" means a school accredited as a high 
school by: 

(a) the Department or board of education of the 
state in which the school is located; or 

(b) the recognized regional accrediting body; or 

(c) the state universitv' of the state in which the 
school is located. 

(15) "In-Service Training" means any and all training 
prescribed in Subchapter 9E Rule .0102 which must 
be satisfactorily completed by all certified law 
enforcement officers during each full calendar year 
of certification. 

(16) "Lateral Transfer" means the employment of a 
criminal justice officer, at any rank, by a criminal 
justice agencv, based upon the officer's special 
qualifications or experience, without following the 
usual selection process established by the agency 
for basic officer positions. 

( 1 7) "Law Enforcement Code of Ethics" means that code 
adopted by the Cor nission on September 19, 
1973, which reads: 

As a law enforcement officer, my fundamental duty is to 
serve the community; to safeguard lives and property; to 
protect the innocent against deception, the weak against 
oppression or intimidation, and the peaceful against violence 
or disorder; and to respect the constitutional rights of all to 
liberty, equalitv, and justice. 

1 w ill keep m\ private life unsullied as an example to all, and 
will behave in a manner that does not bring discredit to me or 
to m\ agency. 1 w ill maintain courageous calm in the face of 
danger, scorn, or ridicule; develop self-restraint; and be 
constanth mindful of the welfare of others. Honest in thought 
and deed both in my personal and official life, 1 will be 
exemplarv in obeying the law and the regulations of my 
department. Whatever 1 see or hear of a confidential nature or 
that is confided to me in m> official capacity w ill be kept e\er 
secret unless revelation is necessary in the performance of my 
dut\. 

1 will never act officiousK or permit personal feelings, 
prejudices, political beliefs, aspirations, animosities or 
friendships to influence my decisions. With no compromise 
for crime and with relentless prosecution of criminals, 1 will 
enforce the law courteously and appropriately without fear or 
favor, malice or ill will, never emplov ing unnecessarv' force or 
violence and ne\er accepting gratuities. 

I recognize the badge of my office as a symbol of public 
faith, and 1 accept it as a public trust to be held so long as 1 am 
true to the ethics of the police service. 1 will ne\er engage in 



13:J 



NORTH CAROLINA REGISTER 



Jiilv I. 1998 



PROPOSED RILES 



acts or corruption or bribery . nor will 1 condone such acts b) 
other police officers. 1 will cooperate with all legalh 
authorized agencies and their representati\ es in the pursuit of 
justice. 

1 know that I alone am responsible for m> ow n standard of 
professional performance and will take e\er\ reasonable 
opportunit\ to enhance and improve m> le\e] of knowledge 
and competence. 

1 will constantK stri\e to achieve these objectives and ideals, 
dedicating m\ self before God to m_\ chosen profession. ..law 
enforcement. 

(18) "Law Enforcement Officer" means an appointee of 
a criminal justice agency or of the State or of an\ 
political subdiv ision of the State who. b_\ \ irtue of 
his office, is empowered to make arrests for 
violations of the laws of this State. Specitlcallv 
excluded from this title are sheriffs and their sworn 
appointees w ith arrest authorit\ who are gov erned 
b\ the provisions of Chapter I7E of the General 
Statutes. 

( 19) "Law Enforcement Training Points" means points 
earned toward the Law Enforcement Officers' 
Professional Certificate Program bv successful 
completion of commission-approved law 
enforcement training courses. Twentv classroom 
hours of commission-approved law enforcement 
training equals one law enforcement training point. 

(20) "LID.AR" means a speed-measuring instrument that 
electronicallv computes, from transmitted infrared 
light pulses, the speed of a vehicle under 
observation. 

(3021 ) "Local Confinement Personnel" means anv officer. 

supervisor or administrator of a local confinement 

facility in North Carolina as defined in G.S. 

1 53 A-2 1 7: an\ officer, superv isor or administrator 

of a county confinement facilitv in North Carolina 

as defined in G.S. 153.A-218: or. an\ officer. 

superv isor or administrator of a district confinement 

facility in North Carolina as defined in G.S. 

153.A-2I9. 

(3422) "Misdemeanor" means those criminal offenses not 

classified under the law s. statutes, or ordinances as 

felonies. Misdemeanor offenses are classified bv 

the Commission as follov\s: 

(a) "Class A Misdemeanor" means an act 

committed or omitted in violation o'i anv 

common law. dulv enacted ordinance. 

criminal statute, or criminal traffic code of 

this state, or anv other jurisdiction, either 

civil or military, for which the maximum 

punishment allov\able for the designated 

offense under the laws, statutes, or 

ordinances of the jurisdiction in which the 

offense occurred includes imprisonment for 

a term of not more than six months. 

Speciflcallv excluded from this grouping of 

"class .A misdemeanor" criminal offenses are 

motor vehicle or traffic offenses desiLinated 



(3^24) 



:--^) 



as misdemeanors under Chapter 20 (Motor 
Vehicles) of the General Statutes of North 
Carolina, similar laws of other jurisdictions, 
or dulv- enacted ordinances of an authorized 
gov emmental entity w ith the exception of the 
offense of impaired driving (G.S. 20-138.1 ) 
which is expresslv included herein as a class 
A misdemeanor, if the defendant was 
sentenced under punishment level three 
[G.S. 20-179(1)]. level four [G.S. 20-179(_i)]. 
or level five [G.S. 20-179(k)]. 
(b) "Class B Misdemeanor" means an act 
committed or omitted in violation of anv 
common law. criminal statute, or criminal 
traffic code of this state, or anv other 
jurisdiction, either civil or military, for 
which the maximum punishment allowable 
for the designated offense under the laws, 
statutes, or ordinances of the jurisdiction in 
which the offense occun'ed includes 
imprisonment for a term of more than six 
months but not more than two \ears. 
Speciflcallv excluded from this grouping of 
"class B misdemeanor" criminal offenses are 
motor vehicles or traffic offenses designated 
as being misdemeanors under Chapter 20 
(Motor Vehicles) of the General Statutes of 
North Carolina or similar laws of other 
jurisdictions w ith the following exceptions. 
Class B misdemeanor does expresslv 
include, either first or subsequent offenses of 
G.S. 20-138(a) or (b). G.S. 20-139 (persons 
under influence of drugs). G.S. 20-28(b) 
(driving while license permanentlv revoked 
or pemianentlv suspended), and G.S. 20-166 
(duty to stop in event of accident). This 
definition further includes a v iolation of G.S. 
20-138.1 (impaired driving) if the defendant 
was sentenced under punishment level one 
[G.S. 20-1 79(g)] or punishment level two 
[G.S. 20-1 79(h)] for the offense. 
"Parole Case AnaKst" means an emplovee of the 
North Carolina Department of Correction who 
works under the superv ision of the North Carolina 
Parole Commission, whose duties include analvzing 
and processing cases under consideration for 
parole. preparing and presenting parole 
recommendations, analvzing and processing 
executive clemencv matters and interviewing 
inmates. 

"Pilot Courses" means those courses developed 
consistent v>.ith the curriculum development policv 
adopted bv the Commission on Ma\ 30. 1986. This 
policv shall be administered bv the Education and 
Training Committee of the Commission consistent 
with Rule 9C .0404. 

"Probation Parole Officer" means an emplovee of 
the Division of .Adult Probation and Parole whose 



c 



yORTH CAROL! \A REGISTER 



July 1, 1998 

on 



13:1 



PROPOSED RULES 



duties include supervising, evaluating, treating, or 
instructing offenders placed on probation or parole 
or assigned to any other communit> -based program 
operated by the Division of Adult Probation and 
Parole. 

(3»26) "Probation/Parole Intake Officer" means an 
employee of the Division of Adult Probation and 
Parole, other than a regular Probation Parole 
officer, whose duties include conducting, preparing, 
or delivering investigations, reports, and 
recommendations, either before or after sentencing, 
upon the request or referral of the court, the Parole 
Commission, or the Director of the Division of 
Adult Probation and Parole. 

(3627) "Probation/Parole Intensive Officer" means an 
emplo\ ee of the Di\ ision of Adult Probation and 
Parole other than a regular probation/parole officer, 
probation/parole intake officer. and 
probation/parole oftlcer-surveillance who is duly 
sworn, empowered with the authority of arrest and 
is an authorized representative of the courts of 
North Carolina and the Department of Correction. 
Division of Adult Probation and Parole, whose 
duties include supervising, investigating, reporting, 
counseling, treating, and surveillance of serious 
offenders in an intensive probation and parole 
program operated b> the Division of Adult 
Probation and Parole who serves as the lead officer 
in such a unit. 

(3728) "Probation Parole Officer - Surveillance" means an 
emplovee of the Division of .Adult Probation and 
Parole other than a regular probation/parole and a 
probation parole intake officer who is duK sworn, 
empowered v\ ith the authority of arrest and is an 
authorized representative of the courts of North 
Carolina and the Department of Correction. 
Division of Adult Probation and Parole whose 
duties include supervising, investigating, reporting, 
and surveillance of serious offenders in an intensive 
probation and parole program operated b\ the 
Division of Adult Probation and Parole who is 
trained in communit\ corrections and law 
enforcement techniques. 

(3S2*5) "Radar" means a speed-measuring instrument that 
transmits microwave energy in the 10.500 to 10.550 
MHZ frequencv (X) band or transmits microv\ave 
energy in the 24,050 to 24,250 MHZ fi-equency (K) 
band and either of which operates in the stationary 
and/or moving mode. "Radar" further means a 
speed-measuring instrument that transmits 
microwave energy in the 33,400 to 36,000 MHZ 
(K.a) band and operates in either the stationar\ or 
moving mode. 

(3Q30) "Resident" means an> youth committed to a facility 
operated b\ the North Carolina Division of Youth 
Services. 

(^3 1 ) "School" or "criminal justice school" means an 
institution, college, universiu. academv. or aszencv 



which offers criminal justice, law enforcement, 
penal, correctional, or traffic control and 
enforcement training for criminal justice officers or 
law enforcement officers. "School" includes the 
criminal justice training course curriculum, 
instructors, and facilities. 
(34-32) "School Director" means the person designated by 
the sponsoring institution or agency to administer 
the criminal justice school. 

(3333) "Speed-Measuring lnstruments"(SMl) means those 
devices or syst e m s svstems, including radar time- 
distance, and LIDAR, formally approved and 
recognized under authority of G.S. l7C-6(a)(l3) for 
use in North Carolina in detemiining the speed of a 
vehicle under observation and particularly includes 
all named devices or systems as specifically 
r es trict e d referenced in the approved list of 12 
NCACQC.060I. 

(3334) "Standards Division" means the Criminal Justice 
Standards Division of the North Carolina 
Department of Justice. 

(3435) "Time-Distance" means a speed-measuring 
instrument that electronically computes, from 
measurements of time and distance, the average 
speed of a vehicle under observation. 

(3436) "State Youth Services Officer" means an employee 
of the North Carolina Division of Youth Services 
whose duties include the evaluation, treatment, 
instruction, or supervision of juveniles committed 
to that agencv . 

A III hur in- G.S. 17C-2: 17C-6: HC-IO: 153.4-217. 

SUBCHAPTER 9B - STANDARDS FOR CRIMINAL 

JUSTICE EMPLOYMENT 

EDUCATION AND TRAINING 

SECTION .0100 - MINIMUM STANDARDS FOR 
CRIMINAL JUSTICE EMPLOYMENT 

.0101 MINIMUM STANDARDS FOR CRIMINAL 
JUSTICE OFFICERS 

Every criminal justice officer employed by an agency in 
North Carolina shall: 



(I) 
(2) 
(3) 



(4) 



(5) 



be a citizen of the United States; 

be at least 20 years of age; 

be of good moral character pursuant to G.S. I7C-10 

and as determined by a thorough background 

investigation; 

have been fingerprinted and a search made of local, 

state, and national tiles to disclose an\ criminal 

record; 

have been examined and certified by a licensed 

phvsician or surgeon to meet physical requirements 

necessarv to properlv fulfill the officer's particular 

responsibilities and shall have produced a negative 

result on a drug screen administered according to 

the following specifications: 



13:1 



NORTH CAROLINA REGISTER 



July I, 199H 



PROPOSED RILES 



(a) the drug screen shall be a urine test 
consisting of an initial screening test using 
an immunoassav method and a contlmiatory 
test on an initial positive result using a gas 
chromatograph>'mass spectrometry 
(GC'MS) or other reliable initial and 
contlrmator\ tests as may. from time to time, 
be authorized or mandated by the 
Department of Health and Human Services 
for Federal Workplace Drug Testing 
Programs; 

(b) a chain of custod\ shall be maintained on the 
specimen from collection to the esentual 
discarding of the specimen; 

(c) the drug screen shall test for the presence of 
at least cannabis, cocaine. phenc\clidine 
(PCP). opiates and amphetamines or their 
metabolites; 

(d) the test threshold \alues established by the 
Department of Health and Human Ser\ices 
for Federal Workplace Drug Testing 
Programs, as found in 53 C.F.R. 1 1970. are 
hereb> incorporated b\ reference, and shall 
automaticalK include an\ later amendments 
and editions of the incorporated material as 
provided b\ G.S. 150B-21.6; 

(e) the test conducted shall be not more than 60 
da\s old. calculated from the time when the 
laboratory reports the results to the date of 
emploxment; 

(T) the laboratory conducting the test must be 
certified for federal workplace drug testing 
programs, and must adhere to applicable 
federal rules, regulations and guidelines 
pertaining to the handling, testing, storage 
and preservation of samples, except that 
indi\ idual agencies ma\ specify other drugs 
to be tested for in addition to those drugs set 
out in Subparagraph (c) of this Rule; 

(6) ha\e been administered a ps\chological screening 
examination b\ a clinical ps\chologist or 
psNchiatrist licensed to practice in North Carolina 
or b\ a clinical psychologist or psychiatrist 
authorized to practice in accordance w ith the rules 
and regulations of the United States Armed Forces 
within one \ear prior to emplo\ment b\ the 
emplo\ ing agenc\ to detemiine the officer's mental 
and emotional suitabilitx to proper)} fulfill the 
responsibilities of the position; 

(7) ha\e been inters iewed personall_\ b_\ the 
Department head or his representati\e or 
representatives, to detemiine such things as the 
applicant's appearance, demeanor, attitude, and 
abilir\ to communicate; 

(8) notif}. the Standards Dixision of all criminal 
offenses w hich the officer is arrested for or charged 
with, pleads no contest to. pleads guilty to or is 
found L;uilt\ of This shall include all criminal 



offenses except minor traffic offenses and shall 

specifically include an\ offense of Driving Under 

The Influence (DUI) or Driving While Impaired 

(DWl). A minor traffic offense is defined, for 

purposes of this Subparagraph, as an offense where 

the maximum punishment allowable by law is 60 

da\s or less. Other offenses under Chapter 20 

(Motor Vehicles) of the General Statutes of North 

Carolina or similar laws of other Jurisdictions 

which shall be reported to the Standards Di\ision 

expressK include G.S. 20-139 (persons under 

influence of drugs). G.S. 20-28(b) (driving while 

license permanenth revoked or pennanenth 

suspended) and G.S. 20-166 (duty to stop in event 

of accident). 

The notifications required under this Subparagraph must be 

in writing, must specify the nature of the offense, the court in 

which the case was handled, and the date of the conviction 

arrest or criminal charge, and the date of final disposition . 

The notifications required under this Subparagraph must be 

received by the Standards Di\ ision w ithin 30 da\ s of the date 

the case was disposed of in court. 

The requirements of this Subparagraph shall be applicable 
at all times during which the officer is certified by the 
Commission and shall also appl\ to all applications for 
certification. 

Officers required to notify the Standards Di\ ision under this 
Subparagraph shall also make the same notification to their 
emplo\ ing or appointing executive officer \\ ithin 20 da>s of 
the date the case was disposed of in court. The executive 
officer, provided he has knowledge of the officer's 
con\ iction(s) arrest( s ) or criminal charge(s) and final 
disposition(s) . shall also notif\ the Standards Division of all 
criminal convictions arrests or criminal charges and final 
dispositions within 30 davs of the date the case was disposed 
of in court. Receipt b\' the Standards Di\ ision of a single 
notification, from either the officer or the executiv e officer, is 
sufficient notice for compliance w ith this Subparagraph. 

AuihonnG.S. l'C-6; I'C-W. 

SECTION .020n - MINIMUM STANDARDS FOR 

CRIMINAL JUSTICE SCHOOLS AND 

CRIMINAL JUSTICE TRAINING PROGRAMS OR 

COURSES OF INSTRUCTION 



.0210 RADAR INSTRUCTOR TRAINING 
COURSE 

(a) The radar instructor training course r e quir e d for radar 
in s tructor c e rtification shall consi i 3t of a minimum of 62 hour s 
of instruction pr e sented within a p e riod not to e xc ee d six 
con se cutiv e w ee ks, shall he designed to provide the trainee 
with the skills and knowledge to proficientlv perform the 
function of a criminal justice radar instructor. This course 
shall be for a period not to exceed six consecutive weeks. 

(b) Each radar instructor training cours e shall b e d e sign e d 
to provid e th e trainee with th e skills and knowl e dg e to 
profici e ntlv p e rform th e function of a criminal Justic e radar 



t 



10 



u.'junmiiawiiuiamt.wti 



NORTH CAROLINA REGISTER July 1, 1998 



13:1 



PROPOSED RILES 



instructor. The radar instructor training course required for 
radar instructor certification shall include but not be limited to 
the topic areas and minimum number of hours as outlined in 
The Radar Instructor Training Course. To qualif. for radar 
instructor certification, an applicant shall meet the minimum 
requirements as outlined in The Radar Instructor Training 
Course and meet the requirements of _[2 NCAC 9B .0408 and 
.0409. 

(c) Each applicant for radar instructor training shall: 

(1) Present the endorsement of a 
commission-recognized school director or agenc\ 
executive officer or his designee. 

(2) Possess criminal justice general instructor 
certification as required in 12 NCAC 9B .0302. 

(d) Each radar instructor training cours e shall include but 
not b e l i mit e d to the following top i c ar e as and corresponding 
instructional — hours — aed — incorporat e — the — corresponding 
minimum train ee p e rformanc e obj e ctives within the course 
curriculum: 

fH Cours e Ori e ntation 2 Hours 

(A) d e scr i ption of th e cour se cont e nt: 
fB4 outline of th e p o rfonnance requirements for 

succ e ssfu l comp le tion of th e radar in s tructor 

training program. 
f^ North Carolina Administratix e Code: 2 Hours 
Familiarization with th e cod e as to radar training 
cours e s and c e rtification r e qu i r e m e nts, to includ e 
comp le tion of th e fomis that p e rtain to spe e d 
m e asur e m e nt instrum e nt training. 
f5-) Ov e rv ie w and hitroduction to Radar 

Train i ng 1 Hours 

fA^ d e scription of the objecti\' e s of a radar 

training program: 
{^ id e ntification of sp e cific r e quir e ment s for 

radar instructors, operator s and e quipment as 

s e t forth in the Radar Relinbilit\ .Act (G.S. 

17CandG.S. 8 50.2): 
f4^ Sp ee d Offenses and Sp e ed 

Enforc e ment 6 Hours 

(A) description in quantitativ e and qualitative 

terms the association b e tw ee n speed offenses 

and motor v e hicl e accid e nts: 
f&) description — ef — major — typ e s — ef — sp ee d 

r e gu l ations, including origin, development. 

and scop e of these regu l ation s : 
fCH description i n quant i tat i \ e and qualitativ e 

t e rms th e saf e ty b e n e fits of e ff e ctix e spe e d 

e nforc e ment i n g e n e ral and 5.^ mph — m 

particu l ar. 
(-5-) Basic Principl e s of Radar Sp ee d 

M e a s ur e m e nt 6 Hours 

<A-) description of the basic op e rating principl e s 

of a s tationaPi and nio\ ing radar instrum e nt: 
f&) e xp l anation of th e Doppler Pr i ncipl e in t e rms 

of how — a — radar — signa l — is — chang e d — by 

r e flection off a moving ob je ct: 
(CH d e scription of factor s that can aff e ct radar 

accuracx and e ff e ctiv e n es s. 



(^ L e gal and Op e rational Con si d e rations 8 Hours 

(A) id e ntification and d es cription of fundamental 
cas e l aw affecting th e use of radar for speed 
measurement and e nforc e ment: 

fB) d e monstrjtion of basic s kill s in pr e paring 
and — pr e senting e videnc e and t e stimony 
conc e rning speed enforcement and radar 
speed measurement: 

(C^ d e scription and application — of r e qu i red 
op e rating proc e dur es of radar instruments. 
(^ Cla s sroom Famil i arization with Sp e cific Radar 

Instrum e nts: 8 Hours 

demonstration of fam i liaritv with th e functions and 

op e rating proc e dures ef — approved radar 

instruments. 
{%) Moot Court 6 Hours 

{A) preparation — of — compl e t e . — concise — and 
e ffective direct t e stimony for radar cases: 

f&) r e spond prop e rly and e ff e ctiv e lv to cross 
e xamination. 
^ Fi e ld Op e ration of Specific Radar 

instrum e nt 8 Hour s 

fA-) d e scription of th e functional components of 
approved radar units: 

fB4 d e script i on of the se tup, calibration, and 
operation proc e dur es of approved radar 
units: 

(€H operation and p e rformanc e of all procedural 
r e quir e m e nt s of actual patrol with approv e d 
radar units. 
fW Motor Skill P e rformance Testing: 8 Hours 

fA^ d e monstration of th e ability to successfu l ly 
s e tup, calibrat e and op e rat e approved radar 
instruments for which th e train ee s ee ks 
c e rtification — in accordanc e w i th criteria 
sp e cified — en — a — s tandardiz e d — train ee 
p e rformance e va l uation form: 

<-B-) d e monstration of th e ability to e stimat e 

v e h i cular spe e d in accordanc e with crit e ria 

specified — en — a — standardiz e d — tra i n e e 

p e rformance e valuation form. 

f-l-B Cours e Rev i e w 2 Hours 

(42) Writt e n Test 2 Hours 



Tetftl 



62 Hours 



(ed) The "Radar Op e rator instructor Training Course" as 
published b\ the North Carolina .lustice Academv is hereby 
incoiporated bv reference, and shall automaticalK include any 
later amendments and editions of the incorporated material as 
provided b\ G.S. i50B-21.6. to appK as basic curriculum for 
the radar instructor training course for radar instructors as 
administered b>' the Commission. Copies of this publication 
ma\ be inspected at the office of the agencv : 

Criminal .lustice Standards Division 

North Carolina Department of Justice 

1 W e st Morgan Str ee t I 1 4 West Edenton Street 

Court of App e als Bu il ding 



13:1 



NORTH CAROLINA REGISTER 



July L 1998 



11 



H^ 



HB 



PROPOSED RULES 



Post Office Drawer 149 

Raleigh. North Carolina 27602 

and ma\ be obtained for nin e t ee n dollars (SI 9.00) p e r copy at 

cost from the Academy at the following address: 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg. North Carolina 28385 
(fe) Commission-accredited schools that are accredited to 
offer the "Radar Instructor Training Course" are: The North 
Carolina Justice Academy. 

Aiillmriiy G.S. nC-6. 

.0211 TIME-DISTANCE INSTRUCTOR 
TRAINING COURSE 

(a) Each tim e di sta nce speed m e asur e m e nt inr . trum e nt 
instructor traininu course shall con s ist of a minimum of 30 



hours of instruction in addition to th e requir e m e nt s se t forth in 
12 NCAC 9B .0210(a). Thi s addit i onal 30 hours shall provid e 
th e tra i n ee w i th th e ski l ls and knowl e dg e to profici e ntK ' 
p e rform th e function of a crimina l justic e time distance speed 
m e a su r e m ent — instrum e nt — in s tructor. The time-distance 
instructor training course shall be designed to pro\ide the 
trainee with the skills and knowledge to proficientK perfonn 
the function of a time-distance instructor. This course shall be 
for a period not to e.\ceed eight consecuti\e weeks. 

(b) Each applicant for the time-distance speed measurement 
instrument instructor training course shall meet the minimum 
entr\ requirements of 12 NCAC 98 .0210(c) and 12 NCAC 
9B .0309. and in addition thereto shall have successfully 
completed the training course of 12 NCAC 9B .0210(d). The 
time-distance instructor training course required for time- 
distance instructor certification shall include but not be limited 
to the topic areas and minimum number of hours as outlined 
in The Time-Distance Instructor Training Course. To qualify 
for time-distance instructor certitlcation. an applicant shall 
meet the minimum requirements as outlined jn The Time- 
Distance Instructor Training Course and meet the requirement 
of 12 NCAC 9B .0408 and .0409. 

fe^ — Each time distanc e sp ee d m e asur e m e nt instrument 
instructor train i ng cours e shall includ e all topic ar e a s s p e cifi e d 
i n 12 N C AC 9B .0210(d). The additional 30 instructional 
hours in th e tim e di s tanc e sp ee d m e asur e m e nt instrum e nt 
instructor training cour se shall includ e but not b e limited to 
t h e fo l lowing topic ar e as and corresponding instructional 
ho u rs a n d in co rporat e th e corr e sponding minimum train ee 
p e rfomiance objectives within the course curriculum: 



fH 0\ e r\ i e \^ and Introduction to Tim e D i stanc e Sp ee d 
M e asur e m e nt In s trum e nts (TDSMI) Training 

1 |— Iqi i t's 

fA4 d e scription — e>f — th<? — obi e ctis e s — of — a 
time distanc e sp ee d m e asur e ment in s trument 
training program: 

fB-) id e nt i fication of s p e cific r e quir e m e nts for 
TDSMI i ns tructors, op e rators and e quipm e nt 
as set forth in G.S. 17C and G.S. 8 50.2. 
f=4 B as i c — Princ i pl e s — eM- — Time Distanc e — Spe e d 



<-A) d e scription of th e ba s ic principl e s on which 

tim e d i stanc e s p e ed m e asurem e nt 

instrum e nts op e rat e : 
fB-) e xplanation — of th e procedures — use^ — ifi 

calibrating tim e distance speed measur e m e nt 

instrum e nts: 
fC-) d e scription of th e basic op e rating proc e dur e s 

r e quir e d — wh e n — e mploying — tim e distanc e 

sp ee d m e asur e ment instrum e nts. 

f34 L e gal and Op e rational Consid e ration ef 

Tim e Distance Speed Measurem e nt Instrum e nts 

4 Hours 
{A) d e monstration of basic skills in preparing 

aftd — pr e s e nting — e vid e nc e — an^ — t e stimony 

conc e rning spe e d enforc e m e nt and sp ee d 

m e asur e m e nt: 
<:&) id e ntification and d e scription of acc e pt e d 

op e rating proc e dur e s for th e prop e r use of 

tim e distanc e sp e ed m e asur e m e nt 

instrum e nts: 
(€4 id e ntificat i on and d e scription of factors 

which may aff e ct th e s e l e ction of various 

s p ee d m e asur e m e nt sit e s. 

f4-) Classroom Familiarization w4#i Sp e cific 

Tim e Distance Speed Mea s ur e m e nt In s trum e nts: 

-I- [-^Qm- 

d e monstration of th e familiarity yy ith the functions 
and op e rating proc e dur e s o f a p proyed tim e distanc e 
sp ee d m e asur e m e nt instrum e nts. 
f54 Moot Court 3 Hours 

<-A-) preparation — of — c om plete . — concise — and 

e ff e ciiv e direct t e stimony for tim e distanc e 

sp ee d m e asur e m e nt instrum e nt cas e s: 
fB-) respond prop e rly and e ff e ctiy e ly to cr os s 

e xamination. 
f6^ Fi e ld Op e ration of Sp e cific Tim e Distanc e Sp ee d 
M e asurem e nt Instrument s 8 Hour s 

fA) d e scription of th e functional c o mpon e nts of 

approy e d tim e distanc e sp ee d m e asur e m e nt 

instrum e nts: 
fB^ d e scription of th e s e tup, calibration and 

op e ration procedur es e# approy e d 

m e asur e m e nt 



time distanc e 



sp ee d 



M e asur e m e nt Instrum e nts 






mstrum e nts: 

{Q) op e ration and performa n c e of all proc e dural 
r e quir e m e nts of actual patrol yyit h a pproye d 

tim e distanc e speed m e asur e m e nt 

in s trum e nts. 
f?) Motor Skil l P e rfomianc e T e sting: 8 Hours 

fA-) d e monstration of th e ability to succ e ssfu l ly 
s e tup. — calibrat e — and — op e rat e — appro ye d 

time - di s tanc e speed m e asur e m e nt 

instrum e nts for yvhich th e train ee se e ks 
c e rt i fication — m — accordanc e yvith — criteria 
sp e cifi e d — on — a — standardiz e d — train ee 
p e rformanc e evaluation form: 

fB4 d e monstration by th e traine e of th e abi l ity to 
es tima te — yehicular — sp ee d — us i n g — crit e ria 



c 



c 



NORTH CAROLINA REGISTER 



July I, 1998 

msmmmm 



13:1 



PROPOSED RULES 



sp e cifi e d — en — a — standardized — train ee 
e valuation form, if th e 30 iiourtim e distanc e 
instructor cours e concludes mor e tiian six 
w ee ks — a^tef — the — train ee — succossfulK 
coiTipl e t e s th e training sp e cifi e d in 12 NCAC 
9B.0210. 
(8) Cours e R e vi e \\ 4 Hour 

{^ Writt e n T e st 4- Hear 

TetaJ — 30 Hours 

(c) The "Time-Distance Operator lnstructor Training 
Course" as published b\ the North Carolina Justice Academ\ 
is hereb) adopted b\ reference, and shall automaticalK 
include an\ later amendments and editions of the incorporated 
material as provided b\ G.S. 150B-21.6. to appl> as basic 
curriculum for the criminal justice time-distance speed 
measurement instrument instructor training course for 
time-distance speed measurement instructors as administered 
b\' the Commission. Copies of this publication may be 
inspected at the office of the agenc\ : 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 W e st Morgan Str ee t 1 1 4 West Edenton Street 

Court of Appea l s Bu i lding 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and ma> be obtained at cost at th e addr e s s in this Rul e , from 

the Academy at the follow iniz address: 

North Carolina Justice Academ\ 

Post Office Box Q9 
Salemburg. North Carolina 28385 

(d) Commission-accredited schools that are accredited to 
offer the " Criminal Justice TD SMI Time-Distance Instructor 
Training Course" are: The North Carolina Justice Academy. 

Authority G.S. rC-6. 

.0212 CERTIFICATION TRAINING FOR 
RADAR OPERATORS 

(a) The radar operator training course for law enforcement 
officers shall consu — of a minimum of 32 hours of instruction 
be designed to preside the trainee with the skills and 
know ledge to proficientl\ perfonn those tasks e ss e ntial to the 
function -as of a jaw enforcement radar operator. This course 
shall be for a period not to exceed four consecutive weeks. 

(b) Onl\ emploved or appointed personnel of a law 
enforcement agencv shall be enrolled in the radar operator 
training course. Such a trainee shall not be certified as a radar 
operator until the basic law enforcement training course has 
been successfulK completed and probationan. or general law 
enforcement certification has been granted. Sheriffs, deputy 
sheriffs and federal law enforcement personnel, including but 
not limited to armed forces personnel, shall be allowed to 
participate in radar operator training courses on a space 
available basis at the discretion of the school director w ithout 
having enrolled in or having successfulK completed the basic 
law enforcement training course and w ithout being currentiv 
certified in a probationan. status or hold general law 
enforr.nient certification. The radar operato r training course 



required for radar operator certification shall include but not 
be limited to the topic areas and minimum number of hours as 
outlined in The Radar Operator Training Course. To qualify 
for radar operator certification, an applicant shall meet the 
minimum requirements as outlined in The Radar Operator 
Training Course and meet the requirements of 12 NCAC 9B 
.0408 and .0409. 



fe^ Each radar op e rator training cours e for law e nforc e m e nt 
offic e rs — sha+l — includ e — tlw — following — topic — areas — and 
corr e sponding — instructional — hours — and — incorporat e — fhe 
corr e sponding minimum train ee p e rformance obj e ctiv e s w ithin 
th e cours e curriculum: 

(44 Cour se Ori e ntation: I Hour 

fA4 d e scription of the cour se cont e nt: 
fB-> outlin e of th e perfonnanc e r e quir e m e nt s for 
s ucc e ssful compl e tion of th e radar op e rator 
training program. 
{¥) Speed Off e n se s and Sp ee d M e asur e m e nt: 3 Hours 
(A) d e scription in quantitative and qualitativ e 
t e mis th e association b e tween speed offense s 
and motor v e hicl e accid e nts: 
fB4 d e scription — of — major — types — ef — speed 
r e gu l ations, including origin, d e v e lopm e nt, 
and scop e of th e s e r e gulations: 
fG4 d e scription in quantitativ e and qualitativ e 
t e rms the saf e t\ b e nefits of e ff e ctiv e sp ee d 
e nforc e m e nt in g e n e ral. 
^ Basic Principl e s of Radar Speed Measur e m e nt: 

5 Hours 
(A4 d es cr i ption of the basic operating principl e s 
of a stationary and moving radar in s trum e nt: 
(-B-) explanation of the Doppl e r Pr i ncipl e in t e rm s 
of hov\ — a — radar signal — is — chang e d — by 
refl e ction off a moving obj e ct: 
fO description of factors that can aff e ct radar 
accuracv and e ff e ctiv e n e ss. 
f4) L e gal and Operational Consid e rations: 4 Ho urs 
(A^ i d e ntification and d e scription of fundam e ntal 
cas e law aff e cting th e us e of radar for s p ee d 
m e asur e m e nt and e nforc e m e nt: 
fB4 d e monstration of basic skills in pr e paring 
and — pr e s e nting — e videnc e — and — t e stimony 
conc e rning sp ee d enforc e ment and radar 
s p ee d m e asur e m e nt: 
(C^ d es cription and application of acc e pt e d 
op e rating procedures of radar instrum e nts: 
f&4 d e monstration of the abilit> to e stimat e 
v e hicular spe e d in accordanc e with crit e ria 
sp e cifi e d — en — a — standardiz e d — train ee 
p e rformanc e e valuation form. 
(44 Classroom Familiarization w i th Sp e cific Radar 
Instrum e nts: 2 Hours 

d e monstration of famil i arity with the function s and 
op e rating proc e dur e s of radar instruments for which 
the train ee s ee ks c e rtification. 
(44 Moot Court: 4 Hour s 

(A4 pr e paration — e^ — compl e t e . — concis e — and 
e ffect i v e dir e ct t e stimonv for radar cas e s: 



13:1 



NORTH CAROLINA REGISTER 



Jiilv /, 199H 



13 



nmaa 
PROPOSED RILES 



fB4 r e spond prop e rly and e ff e ctively to cros s 

(7) Superv i sed Vlonitor e d Practice with Sp e cific Radar 
Instrum e nts: 6 Hours 

fA^ description of th e functional compon e nt s of 
the radar units for which th e train ee see ks 
c e rt i fication: 
f&) d e scription of th e s e tup, calibration, and 
operat i on proc e dur es of th e radar unit s for 
w h ich th e train ee s ee k s c e rt i fication: 
(€4 operat i on and performanc e of all proc e dura l 
r equ ir e m e nts of actual patrol with th e radar 
tmrts — fer — which — the — train ee — seeks 
c e rtification. 
{%) Motor Skill P e rformanc e T e sting: 4 Hours 

d e mon s tration of th e abi li ty to s uccessfully s e tup, 
calibrat e and op e rat e th e radar instrum e nts for 
which th e train ee s ee ks c e rtification in accordanc e 
with crit e ria sp e cifi e d on a standardiz e d train ee 
performanc e e valuation fonn. 
^ Course Review 1 Hour 

f44M Wrin e n T e st. 2 Hours 

Ttrtai 32 Hours 

(c) The "Radar Operator Training Course" as published by 
the North Carolina .lustice Academy is hereb\ incorporated 
by reference, and shall automatically include any later 
amendments and editions of the incorporated material as 
pro\ ided b\ G.S. 1 50B-2 1 .6. to appK as basic curriculum for 
the radar operator training course for radar operators as 
administered by the Commission. Copies of this publication 
may be inspected at the office of the agency : 

Criminal Justice Standards Division 

North Carolina Department of Justice 

I W e st M orga n S t r eet 1 1 4 West Edenton Street 

Coun of App e als Building 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and may be obtained at cost for nin e t ee n dollars (SI 9.00) p e r 

copy from the Academy at the follovs ing address: 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg. North Carolina 28385 

Author ily G.S. rC-6. 

.0213 CERTIFICATION TRAINING FOR 

RADAR/TIME-DISTANCE OPERATORS 

(a) Each The radar aftd- time-distance sp ee d measur e m e nt 
instrum e nt operator training course for law enforcement 
officers shall consist of a minimum of 1 8 hours of instruction 
be designed to provide the trainee with the skills and 
know ledge to proficiently perfomi thos e task s e s se ntial to the 
function as-of a radar -aftd-time-distance sp ee d m e asur e m e nt 
in s trum e nt operator. This course shall be for a period not to 
exceed four consecutiv e weeks. 

(b) Only emploved or appointed personnel of a law 
enforcement agency ma\ be enrolled in the radar and 
time-distance speed measurement instrument operator training 



course. Such a trainee shall not be certified as a radar and 
tiine-distance speed measurement instrument operator until the 
basic law enforcement training course has been successfully 
completed and probationarv or general law enforcement 
certification has been granted. Sheriffs, deputy sheriffs, and 
federal law enforcement personnel, including but not limited 
to armed forces personnel, shall be allowed to participate in 
radar and time-distance speed measurement instrument 
operator training courses on a space available basis at the 
discretion of the school director w ithout having enrolled in or 
having successfully completed the basic law enforcement 
training course and without being currently certified in a 
probationary status or holding general law enforcement 
certification. The radar time-distance operator training course 
required for radar time-distance operator certification shall 
include but not be limited to the topic areas and minimum 
number of hours as outlined m The Radar Time-Distance 
Operator Traininsj Course. To qualif\ for radar time-distance 
operator certification, an applicant shall meet the minimum 
requirements as outlined in The Radar Time-Distance 
Operator Training Course and meet the requirements of 12 
NCAC 9B .0408 and .0409. 

fe^ Each — coinbin e d — radar — and — tim e di s tanc e — s p ee d 

m e asur e m e nt instrum e nt op e rators' training cours e shall 
includ e all top i c ar e as specifi e d in 12 NCAC 9B .02l2|c). The 
additional 16 instructional hours in the tim e di s tance sp ee d 
m e asur e ment instrum e nt op e rators' training cours e shall 
includ e but not b e limit e d to th e following topic ar e as and 
corr es ponding — in str ucti ona l — h our s — and — incorporat e — the 
corr e sponding minimum train ee p e rformance objectiv e s within 
the cours e curriculum: 

fH Ba s ic — Principl e s — ef — Tim e Distanc e — Speed 
M e asur e m e nt Instrum e nts: 1 Hour 

fA-) d e scription of th e basic principl e s on which 

tim e distanc e sp ee d tn e asur e menl 

instrum e nts op e rat e : 
{9r) e xplanation — of the — proc e dur e s — used — m 
ca l ibrating tim e distanc e sp ee d m e asur e m e nt 
instrum e nts: 
fG4 d e scription of th e basic op e rat i ng procedur e s 
r e quir e d — wh e n — emp l ov ing — tim e distance 
sp ee d m e asur e m e nt instrum e nts. 
(^ L e gal — and — Op e rational — Considerations — ef 
T i m e Distanc e Sp ee d M e asur e m e nt Instrum e nts: 

2 Hour s 

fA-) id e ntification and d e scription of fundamental 

ca s e lavs affecting the use of t i m e distanc e 

sp e ed measur e m e nt for speed e nforc e m e nt: 

fB-) i d e ntificat i o n and d e scription of acc e pt e d 

operating proc e dures for the prop e r use of 

tim e distanc e speed measurern e nt 

instrum e nts: 
{Q^ id e ntification and description of factors 
wh ich may aff e ct th e s e l e ction of various 
sp ee d m e asur e m e nt sit es . 

f3-) C l assroom Familiarization w4th Sp e cific 

T i me Distanc e Speed Measurem e nt Instrum e nts: 

2 Hours 



14 



\ORTH CAROL/XA REGISTER 

rnKmrniimmmmmmm 



July I. 1998 



13:1 



PROPOSED RULES 



demonstration of familiarit}' with th e functionG and 

op e rating proc e dur es time distanc e speed 

m e a s ur e m e nt in 5 trument(s) for which th e train ee 
seeks certitlcation. 
f4) Moot Court: 2 Hours 

(A) preparation — of — compl e t e . — concis e — and 
effectiv e dir e ct testimon\ for tim e distanc e 
sp ee d m e asurement instrument cases: 
(B^ r e spond properK and e ff e cti\ei\ to cro s s 
examination. 
1^ Sup e r\is e d Monitor e d — Practic e — with — Sp e cific 
Time Distance Speed M e asur e m e nt 
Instrum e nts: 5 Hours 

{A) d e scription of th e functional components of 
the — tim e di s tanc e — speed — measurem e nt 
instrument! s) for which th e train ee s ee lcs 
c e rtification: 
fB-) description of th e se tup, calibration and 
operation proc e dur e s of the tim e distanc e 
sp ee d m e asurement instruin e nt(s) for which 
the train ee s e eks c e rtification: 
{G^ op e rat i on and p e rformanc e of ail proc e dural 
r e quir e ments of actual — patrol — with th e 
time distanc e speed measurem e nt instrum e nt 
for v\hich th e trainee s ee ks c e rtification. 
(4) Motor Skill P e rformanc e T e sting: -1 Hours 

demonstration of th e abilitx to succ e ssfully s e tup, 
calibrate and op e rat e th e time distanc e sp ee d 
measur e ment instrinn e ntls) for which the train ee 
se e ks ce .ification — i n accordanc e with crit e ria 
specified on a s tandardiz e d trainee performanc e 



evaluation form. 



TetaT 



16 Hours 



(dc) The " Radar Time-Distance Operator Trainin" Course" 
as published b\ the North Carolina .Justice Acadein\ is hereb\ 
incorporated b\ reference, and shall automaticall\ include an\ 
later amendments and editions of the incorporated material as 
provided b\ G.S. 150B-21.6. to appK as basic curriculum for 
the radar_and- time-distance speed measur e m e nt instrument 
operator training course for radarfafid- time-distance speed 
m e a s ur e m e nt in s trum e nt operators as administered by the 
Commission. Copies of this publication ma\ be inspected at 
the office of the agency: 

Criminal .lustice Standards Di\ ision 

North Carolina Department of .lustice 

1 W e st Morgan Str ee t 1 1 4 West Edenton Street 

Court of App e als Building 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and ma\ be obtained at cost for two dollar s and fiftx c e nts 

($2.50) per copy from the Academ\ at the follow ing address: 

North Carolina Justice Academ\ 

Post Office Box 99 
SaJemburg. North Carolina 28385 

Author in- G.S. 17C-6. 



.0214 CERTIFICATION TRAINING FOR 
TIME-DISTANCE OPERATORS 

(a) The time-distance speed measur e m e nt operator training 
course for law enforcement officers shall consi s t of a 
minimum of 32 hours of in s truction be designed to provide 
the trainee with the skills and knowledge to protlciently 
perform those tasks ess e ntial to the function as of a 
time-distance sp ee d m e a s ur e m e nt operator. This course shall 
not exceed four consecutive weeks. 

(b) Onl\ employed or appointed personnel of a law 
enforcement agency ma> be enrolled in the time-distance 
speed measurement operator training course. Such a trainee 
shall not be certified as a time-distance speed measurement 
operator until the basic law enforcement training course has 
been successfully completed and probationary or general law 
enforcement certification has been granted. Sheriffs, deputv' 
sheriffs, and federal law enforcement personnel, including but 
not limited to anned forces personnel, shall be allowed to 
participate in time-distance speed measurement operator 
training courses on a space available basis at the discretion of 
the school director without having enrolled in or having 
successfully completed the basic law enforcement training 
course and w ithout being currently certified in a probationary 
status or holding general law enforcement certification. The 
time-distance operator training course required for time- 
distance operator certification shall include but not be limited 
to the topic areas and minimum number of hours as outlined 
[n The Time-Distance Operator Traininiz Course. To qualify 
for time-distance operator certification, an applicant shall meet 
the minimum requirements as outlined in The Time-Distance 
Operator Training Course and meet the requirements ot' 12 
NCAC 9B .0408 and .0409. 

fe4 Each tim e di s tanc e sp ee d m e a s ur e m e nt instru me nt 
op e rator training course for law enforc e m e nt offic e rs s hal l 
includ e — the — following — topic — aa - as — and — corr e spcmding 
instructional — hours — and — i ncorporat e — the — corr e sponding 
minimum stud e nt p e rfonnance objectiv es within th e cours e 
curr i culum: 

fM Cours e Ori e ntation: 1 Hour 

fA-) d es cription of th e course cont e nt: 
fB4 outline of th e p e rfonnanc e r e quir e m e nts for 
s ucc es sful compl e tion of th e tim e distanc e 
speed — m e asur e m e nt — instrum e nt — op e rator 
training program. 
(3-) Sp ee d Off e ns e s and Sp ee d 

Measurem e nt: 3 Hours 

{A) description in quantitativ e and qualitativ e 
t e nn s th e association b e tw e en spe e d off e ns es 
and motor v e hicl e accid e nts: 
fB4 description — ef — major — typ e s — ef — sp ee d 
r e gulation s , including origin, d e v e lopm e nt, 
and s cop e of th e s e r e gulations: 
(C^ description in quantitativ e and qualitativ e 
t e rms th e s af e ty b e n e fits of e ff e ctiv e s p ee d 
e nforc e ment in g e n e ral. 
f^-) Ba s ic — Princ i pl e s — of — Time Distanc e — Sp ee d 
Measurem e nt: 2 Hours 

fA) d e scription of the basic op e rating principl e s 



13:1 



NORTH CAROLINA REGISTER 



July ], 1998 



15 



PROPOSED RILES 



e4- e l e ctronic time d is tanc e sp ee d 

m e asurement instrum e nt s : 

{%) d e scription — of tactor s — that — can — aff e ct 
e l e ctronic tim e di s tanc e sp ee d mea s ur e m e nt 
in s trument accurac> and e ff e ctiven e ss. 
{4) L e gal and Operational Con s id e ration s : -J Hours 

(tM id e ntification and de s cription of fundam e ntal 
ca se Ian aff e cting th e us e of tim e distanc e 
speed measur e m e nt for s peed enforc e m e nt: 

fB-) d e scription and application of acc e pted 
op e rating proc e dur e s of time distance spe e d 
m e asur e m e nt instruments: 

{Q^ d e monstration of the abilitx to e stimat e 

\ e hicular spe e d in accordanc e with crit e ria 

sp e cifi e d — en — a — standardiz e d — train ee 

p e rformanc e evaluation fonn. 

{^ Classroom Familiarization vv+th Sp e citlc 

Time Distance Speed M e asurem e nt Instruments: 

2 Hours 



(^ 



published b\ the North Carolina Justice Academ> is hereby 
incorporated b\ reference, and shall automaticalK include an) 
later amendments and editions of the incorporated material as 
provided b\ G.S. I50B-2I.6. to appK as basic curriculum for 
the time-distance speed measur e m e nt operator training course 
for time-distance spe e d — m e a s ur e m e nt — operators as 
administered b\ the Commission. Copies of this publication 
ma> be inspected at the office of the agencv : 

Criminal Justice Standards Division 

North Carolina Department of Justice 

1 W e st Morgan Str ee t 1 14 \\'est Edenton Street 

Court of App e als Building 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and mav be obtained at cost for two dollars and fift\ c e nts 

(S2.50) p e r cop> from the .Acadenn at the follow ing address: 

North Carolina Justice .Academv 

Post Office Box 99 
Salemburt!. North Carolina 28385 



t 



d e monstration of familiarity' with the functions and 

op e rating — procedur e s — e# — time distanc e — sp ee d Authorin- G.S. l~C-6. 

m e asur e m e nt instrum e nt s for which the trainee 

s ee ks c e rtification. 

Moot Court: 4 Hours 

fA4 pr e paration — ef^ — c o m pl e t e. — concis e — an^ 

effectiv e direct t es timonv for tim e distance 

speed m e asurement cas e s: 
fB^ r e spond prop e rlv and e ff e ctiv e lv to cross 

e xamination: 
fC4 d e monstration of basic s kills in pr e paring 

aftd — pres e nting — e vid e nc e — and — t e stimonv 

concern i ng sp ee d e nforc e m e nt and 



tim e distance sp ee d m e asur e m e nt. 
f^ Supervis e d Monitor e d — Practic e — with — Sp e cific 
Time Distance Sp ee d M e asurem e nt Instrum e nts: 

8 Hours 

fM d e scription of th e functional compon e nt s of 

th e tim e distanc e s p ee d m e a s ur e m e nt units 

for which th e train ee s ee k s c e rtification: 

f&4 d e scription of the s e tup, calibration, and 

op e ration procedur e s of th e tim e distanc e 

sp ee d m e asur e m e nt units for which th e 

trainee se e ks c e rtification: 

fC4 op e ration and performanc e of all proc e dural 

r e quir e m e nts — o f actual — patrol — wrth — the 

tim e distanc e sp ee d m e asur e m e nt units for 

which th e train ee s ee k s c e rtification. 

{%^ Motor Skill P e rfomianc e T e sting: .^ Hours 

d e monstration of th e abilitv to succ e s s fullv s e tup. 

calibrat e and op e ra te th e lim e- distanc e sp ee d 

mea s ur e m e nt instrum e nts f o r wh i ch the train ee 

see k s c e rtification — in accordanc e w ith crit e ria 

specified on a standardiz e d train ee performance 

e valuation form. 

(-94 Cours e R e v l e w 1 Hour 

f+04 \\ ritt e n T e st 2 Hours 

Total 32 Hours 

(dc) The "Time-Distance Operator Training Course" as 



.0215 SLPPLEMENTAL SMI TRAINING 

(a) The supplemental speed measuring instrument (SMI) 
training course for law enforcement officers shall consist of a 
minimum of two hours of instruction for e ach additional sp e ed 
m e asuring instrum e nt th e offic e r d e sir e s c e rtification. — This 
cours e is be designed to prov ide the trainee vv ith the skills and 
knowledge to proficientK perform those tasks essential to 
function as an instructor or operator using the additional speed 
measuring in s trum e nt instrument(s> . 

(b) Each applicant for supplemental speed measuring 
instrument training shall: 

(1) possess a valid radar and. or time-distance speed 
measuring instrument instructor and/or operator 
certification as a result of successful completion of 
I2NCAC9B .0210. .021 1.. 0212. .0213 or .0214. 

(2) present the endorsement of a 
commission-recognized school director or agencv 
executive officer or his designee. 

(c) Each suppl e m e ntal speed measuring instrument training 
course for law — e nforc e ment offic e rs shall — includ e th e 
following topic ar e as and corr e sponding instructional hours 
and incorporat e th e corr e sponding performance objectiv e s 
w ithin th e cour se curriculum: The supplemental SMI trainimi 
course required for certification, on the additional 
instrument! s). shall include but not be limited to the topic 
areas and minimum number of' hours as outlined in The 
Supplemental SMI Training Course. To quality for 
certification, on the additional instrument(s). an applicant shall 
meet the minimum requirements as outlined in The 
Supplemental SMI Traininu Course and meet the requirements 
ot' J2 NCAC 9B .0408 and .0409. 

f44 D e mon s tration of familiarit\ with the functions and 
op e rating — proc e dur e s — of the — additional — spe e d 
m e asuring in s trum e nt! s) for which the offic e r 
d e sir e s c e rtification. 1 ' ^ Hours 

f24 D e monstrat e 100 perc e nt comp e t e nc e in th e s e tup. 



76 



.\ORTH CAROLIXA REGISTER 



July 1, 199S 



13:1 



PROPOSED RULES 



calibration and op e ration of th e additional sp ee d 
m e asuring in5trument(s) in accordanc e with th e 
crit e ria sp e cifi e d on a standardized performanc e 
e valuation form. '-; Hour 

Total 2 Hour s 

(d) Certification as instructor and/or operator of the 
additional speed measuring instruments shall expire on 
midnight of the date of expiration of the instructor and or 
operator certification referred to in 12 NCAC 9B .02 15(b) and 
.0310(a). 

(e) The "Supplemental SMI Training Course" as published 
b\ the North Carolina Justice Academ\ is hereb\ incorporated 
be reference, and shall automaticalK include an% later 
amendments and editions of the incorporated material as 
pro\ ided b\ G.S. 150B-21.6. to apph as basic curriculum for 
the supplemental SMI training course for SMI instructors or 
operators as administered b\ the Commission. Copies of this 
publication ma\- be inspected at the office of the agenc\: 

Criminal Justice Standards Division 

Noilh Carolina Department of Justice 

1 14 W est Edenton Street 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and ma\ be obtained at cost from the Academ\ at the 

follo\\ing address: 

North Carolina Justice .^cademN 

Post Office Box 99 
Salemburg. North Carolina 28385 

(f) Commission-accredited schools that are accredited to 
offer the "Supplemental SMI Training Course" fc Instructors 
are: The North Carolina Justice Academw 

Auiborin-G.S. I'C-6. 



.0218 RE-CERTIFICATION TRAINING FOR 
RADAR INSTRUCTORS 

(a) Each retraining cour se for c e rtifi e d radar instructors The 
radar instructor re-certiflcation training course shall consist of 
a mininium of 20 hours of instruction and t e sting be designed 
to pro\ide the instructor with the skills and knowledge to 
continue to proficiently perfomi the function of a criminal 
justice radar instructor. This course shall be presented w ithin 
a period not to exceed one w eek. 

(b) Each applicant for a radar instructor retraining course 
shall: 

(1) possess criminal Justice general instructor 
certification as required in 12 NCAC 9B .0302; 

(2) ha\e been certified as a radar instructor \\ ithin the 
three >ears preceding the completion date of the 
retraining course. 

(c) Each radar instructor r e training cours e shall includ e but 
not b e limit e d to th e follow ing topic ar e as and corr e sponding 
instructional — hours — and — i ncorporat e — the — corr e sponding 
minimum train ee performanc e objectix e s with i n th e cours e 
curr i culum: The radar instructor re-certification training 
course required for radar instructor re-certiflcation shall 
include but not be limited to the topic areas and minimum 
number of hours as outlined in The Radar Instructor Training 



Course. To qualifs for radar instructor re-certification. an 
applicant shall meet the minimum requirements as outlined in 
The Radar Instructor Training Course and meet the 
requirements of 12 NCAC 9B .0408 and .0409. 

{4-) Cour se Ori e ntation: 1 Hour 

(A-) r e gistration and d e scription of cours e : 

fB-) r e vi e w of tl i e p e rformanc e r e quirements for 

s ucc e ssful completion of th e radar instructor r e training course: 

fQ d e scription of the obj e ctiv e s of th e radar 

in s tructor r e training course . 

(2) Sp ee d Off e ns e s and Sp ee d Enforc e ment: 1 Hour 

fA4 r e vi e w of th e as s ociation b e tw ee n speed 

off e ns e s and motor v e hicl e accid e nts: 
(:&) r e vi e w — of speed — r e gulation s . — including 
origin, d e velopment of and scop e of th ese 
r e gulations: 
(C^ r e vi e w of saf e t\ b e nefits of effective speed 
e nforc e m e nt. 
(34 Basic Principl e s of Radar Sp ee d M e asur e ment 

I ' ; Hour s 
(A-) r e \ l e w of th e basic op e rating principl e s of 

stat i onarx and moving radar: 
fB) r e vi e w of th e Doppl e r Principl e as it r e lat e s 

to polic e radar: 
fG4 r e \ l e w — of factors that can aff e ct radar 
accuracv. 
f4) L e gal and Op e rational Cons i d e ration s : I ' ; Hours 
(A) r e vi e w of cas e law aff e cting th e use of radar 

for sp ee d m e asur e m e nt and e nforc e ment: 
fB-) r e vi e w of op e rator t es ting and calibrating 

proc e dur e s: 
fO r e vi e w of r e quir e d op e rating proc e dur e s of 
radar instrum e nt s . 
f§-) Classroom Familiarization with Sp e cific Radar 
in s trum e nts: 3 Hour s 

R e vi e w th e functions, testing, and calibration 
proc e dur e s for each specific instrum e nt. 
(4) Motor Skil l P e rformanc e T e sting: 8 Hours 

<-A-) d e mon s tration of th e abilitv to prop e rly 
s e tup, t es t, calibrat e and operate the radar 
instrum e nts for which th e instructor s ee ks 
r e c e rt i fication in accordanc e with cr i t e ria 
sp e cifi e d — eni — standardiz e d — p e rformance 
e valuation forms: 
fB4 d e monstration of th e abilit> to e stimat e 
v e h i cular sp ee d in accordanc e with crit e ria 
sp e cifi e d — en — standardiz e d — p e rfonnanc e 
e valuation forms. 
f7) North — Caro l ina — Administrativ e — Cod e — and 
Motor Skill Forms: 2 Hours 

fA4 r e v ie w 12 NCAC 9 as to th e r e quir e m e nt s 
and rul es r e lating to radar, lim e distanc e 

op e rator training. r e tra i ning. and 

c e rtification: 
fB) r e v l e w all SMI fonns us e d in administ e ring 
radar, tim e di s tanc e training and c e rtification 
cours e s. 
f84 Wr i tt e n T e st: 2 Hours 



13:1 



NORTH CAROLINA REGISTER 



July 1, 1998 



17 



»niwif>qr«i«wnraww*. MUlHilM m< 



PROPOSED RULES 



Total 20 Hours 

(d) Commission accr e dited i jchool s that ar e accr e dit e d to 
off e r th e "Re C e rtification Training for Radar In s tructors" 
cour se are: Th e North Carolina Just i c e Acad e nn . The "Radar 
Instructor Training Course" as published by the North 
Carolina Justice Academ\- is hereb\^ incorporated b\ reference. 
and shall automaticalK include am later amendments and 
editions ot" the incorporated material as prosided b\ G.S. 
I50B-2I.6. to appK as basic curriculum for the radar 
instructor re-certit1cation traininu course for radar instructors 
as administered bv the Commission. Copies of this 
publication ma\ be inspected at the office of the agencv: 

Criminal Justice Standards Di\ision 

North Carolina Department of Justice 

1 14 West Edenton Street 

Post Office Drawer 14Q 

Raleigh. North Carolina 27602 

and may be obtained at cost from the Academ\ at the 

following address: 

North Carolina Justice Academ\ 

Post Office Box QQ 
Salemburg. North Carolina 28385 

(e) Commission-accredited schools that are accredited to 
offer the "Radar Instructor Re-Certification Training Course" 
are: The North Carolina Justice Acadenn. 

Aiithonry G.S. I 'C-6. 

.0219 RE-CERTIFICATION TRAINING FOR 
TIME-DISTANCE INSTRLCTORS 

(a) Each retraining The time-distance instructor re- 
certification training course for c e rtifi e d tim e distance sp ee d 
measur e m e nt instrum e nt (TD SMI) in s tructors shall consist 
of a minimum of 8 hours of instruction and t e sting in addition 
to the r e quir e m e nts set forth in 12 NCAC OB .02 1 8(a). This 
additional 8 hours shall pro\ id e th e instructor with th e skills 
and knowl e dg e to continu e to profici e ntK p e rform th e 
function of a criminal Justice instructor. — be designed to 
pro\ide the instructor with the skills and knowledge to 
continue to proficientK perform the function of a criminal 
justice time-distance instructor. This course shall be presented 
within a period not to exceed one w eek. 

(b) Each applicant for the time-distance instructor 
retraining course shall: 

( 1 ) Meet the minimum entp. requirements of 1 2 NCAC 
QB .0218(b) and in addition thereto shall ha\e 
successfulK completed the retraining courses of 12 
NCAC9b'.0218(c). 

(2) Have been certified as a time-distance instructor 
within the three years preceding the completion date 
of the retraining course. 

(c) Each tim e distanc e instructor r e training cours e shall 
include a l l topic areas specifi e d in 12 NCAC QB .0218(c). 
Th e additional 8 instruction al h o urs in th e tim e di s tance 
instructor r e training cours e s hall includ e but not b e limit e d to 
th e fol l owing topic ar e as and corr es po n d i ng instructional 
hours and i ncorporat e th e corr e sponding min i mum train ee 
p e rformanc e obj e ctix e s w i thin th e cours e curriculum: The 



time-distance instructor re-certification training course 
required for time-distance instructor re-certification shall 
include but not be limited to the topic areas and minimum 
number of hours as outlined rn The Time-Distance Instructor 
Training Course. To qualil\ for time-distance instructor re- 
certification, an applicant shall meet the minimum 
requirements as outlined jn The Time-Distance Instruct 
Training Course and meet the requirements of 12 NCAC QB 
.0408 and .0409. 



f-1-) Basi c — Principl e s — ef — Tim e Distanc e — Sp ee d 
M e a s ur e ment Instruments: 1 Ho u r 

(A) review — of th e — basic — principl e s — of th e 

TDSMl: 
fB-) rc\iew of th e basic proc e dur e s us e d to 

calibrat e TDSMl: 
fG4 r e vi e w of th e basic op e rating procedur e s for 
th e TDSMl. 
(5-) L e gal — and — Op e rational — Consid e rations — ©f 
Titn e Di s tance Sp ee d M e asur e ment Instrum e nts: 

I Hour 



(A) 



{^ 



(44 



r e vi e w of ca se law aff e cting TD SMI: 

r e view of r e quir e d op e rating proc e dur es for 

TDSMl: 

r e vi e w — of factors which max aff e ct th e 

se l e ction of sp ee d m e asur e m e nt sit e s. 

Cla s sroom Familiarization with Sp e cific 

Tim e Distance Sp ee d M e asurem e nt Instrum e nts: 

'■; H our 
fA^ r e xiexx of requir e d t e sting and calibration 

proc e dur e s for sp e cific TD SMI: 
(-B-) r e xi e xv a l l functions and controls of specific 

TD SMI. 
Motor Skill P e rformance Testing: I ' ; Hours 

d e monstration of the abilin to prop e rlx 
s e tup, t e st, calibrat e , and op e rat e th e 
tim e distance instrum e nt for xxhich th e 
instructor — s ee ks — re certification — m 
accordance xxith criteria specifi e d on 
standardiz e d — p e rformanc e — e xaluation 
fomis. 
f?-) Writt e n Te s t: 1 Hour 

Total 8 Hours 
(d) Commission accr e dit e d schools that ar e accr e dit e d to 
offer the "R e C e rtification Training for TD SMI Instructors" 
cours e ar e : Th e North Carolina Justic e Acad e mx .Acad e mx . 
The "Time-Distance Instructor Training Course" as published 
b\ the North Carolina Justice .Academx is herebx incorporated 
by reference, and shall automaticalK include any later 
amendments and editions of the incorporated material as 
proxided bv G.S. 150B-21.6. to appK as basic curriculum for 
the time-distance instructor re-certification training course for 
time-distance instructors as administered bx the Commission. 
Copies of this publication max be inspected at the office of the 
agencx : 

Criminal Justice Standards Di\ ision 

North Carolina Department of Justice 

1 14 West Edenton Street 

Post Office Drawer 149 



C 



IS 



.\ORTH CAROLf^ t REGISTER 



July L 1998 



13:1 



PROPOSED RULES 



Raleigh. North Carolina 27602 
and may be obtained at cost from the Acadenn at the 
following address: 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg. North Carolina 28385 
(e) Commission-accredited schools that are accredited to 
offer the "Time-Distance Instructor Re-Certit'ication Training 
Course" are: The North Carolina Justice Academ\. 

Author in- G.S. rC-6. 

.0220 RE-CERTIFICATION COURSE FOR 
RADAR OPERATORS 

(a) Each The radar operator re-certification training course 
for radar operators shall con s ist of a minimum of 8 hours of 
rcyiovv and t e sting be designed to proyide the law enforcement 
officer with d e t e rmine if th e individual poss e sses the skills 
and knowledge to continue to proficiently perform those tasks 
e ss e ntial the function as of a radar operator. This course shall 
be presented within a period not to exceed one week. 

(b) Each applicant for a radar operator re-certification 
course shall meet the requirements of 12 NCAC 9C .0308(c) 
and (d). 

(c) Federal law enforcement personnel shall be allowed to 
participate in radar operator re-certification courses at the 
discretion of the school director without meeting the 
requirements specified in 12 NCAC 9B .0220(b). but such 
personnel must have successfully completed the radar operator 
training course (12 NCAC 9B .0212) or the radar TD SMI 
operator training course ( 1 2 NCAC 9B .02 1 3 ). 

(d) The radar operator re-certification training course 
required for radar operator re-certification shall include but 
not be limited to the topic areas and minimum number of 
hours as outlined in The Radar Operator Training Course. To 
qualify for radar operator re-certification, an applicant shall 
meet the minimum requirements as outlined [n The Radar 
Operator Training Course and meet the requirements of 12 
NCAC 9B .0408 and .0409. 

(de) Each radar op e rator r e c e rtification course shall 
include the following topic ar e as and corr e sponding testing 
hour s and incorporat e th e corr es ponding minimum train ee 

p e rformanc e ob ie cti\ e s within the cour se 

curricu l um :Academ\. The "Radar Operator Training Course" 

as published b\ the North Carolina Justice Acadenn is hereby 

incorporated b\ reference, an d shall automatically include an\ 

later amendments and editions of the incorporated material as 

provided b\ G.S. 1 50B-2 1 .6. to appK as basic curriculum for 

the radar operator re-certification training course for radar 

operators as administered by the Commission. Copies of this 

publication ma\ be inspected at the office of the agencx : 

Criminal Justice Standards Di\ ision 

North Carolina Department of Justice 

1 14 West Edenton Street 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and ma\ be obtained at cost from the Academy at the 

following address: 



North Carolina Justice Academy 

Post Office Box 99 
Salemburg. North Carolina 28385 



<+) 



Hour 



m 



(^ 



Cours e Orientation: 

{-At) r e gistration and d e scription of cours e ; 

(-&) r e vi e w of th e p e rformanc e r e quir e m e nt s for 
successful compl e tion of the radar op e rator 
r e certification course. 

L e gal and Op e rational Consid e rations: 1 ' ; Hour s 

(A) r e vi e w of op e rator t es ting and calibration 
proc e dur e s: 

(-B^ r e vi e w of r e quir e d op e rating proc e dur es of 
radar instrum e nts. 

Motor Skill P e rfomianc e T es ting: 1 Hours 

fA4 demonstration of th e ability to prop e rly 
setup, test, calibrat e and op e rat e th e radar 
instrum e nts for which the op e rator s ee ks 
r e- c e rtification in accordanc e yvith crit e ria 
sp e cifi e d — en — standardized — p e rformanc e 
e va l uation forms: 

(-B) d e monstration of th e ability to e stimat e 
v e hicular sp ee d in accordanc e with cr i t e ria 
s pecified — efi — standardiz e d — p e rformanc e 
e valuation fomis. 

Writt e n T e st 2 Hours 

Total 8 Hour s 

AuihorinG.S. 1 7C-6, 



(4^ 



.0221 r E-CERTIFICATION COURSE FOR 

RADAR/TIIVIE-DISTANCE OPERATORS 

(a) fiaeh- The radar/time-distance operator re-certification 
training course for radar and tim e distanc e speed measur e m e nt 
instrum e nt op e rator s shall consist of a minimum of 13 hours 
of r e vi e w and t e sting be designed to determin e if th e 
individual poss esse s provide the lavK enforcement officer w ith 
the skills and knowledge to continue to proficiently perfonn 
thos e tasks e ss e ntial to the function as-of a radar/aftd 
time-distance operator. This course shall be presented yvithin 
a period not to exceed one week. 

(b) Each applicant for a radar and time-distance operator 
re-certification course shall meet the requirements of 12 
NCAC 9C .0308(c) and (d). 

(c) Federal law enforcement personnel shall be alloyved to 
participate in radar and time-distance operator re-certification 
courses at the discretion of the school director without 
meeting the requirements specified in 12 NCAC 9B .0221(b). 
but such personnel must have successfully completed the radar 
and TD'SMI operator training course (12 NCAC 9B .0213) or 
the radar operator training course (12 NCAC 9B .0212) and 
the TD SMI operator training course ( 12 NCAC 9B .0214). 

(d) The radar time-distance operator re-certification 
training course required for radar time-distance operator re- 
certificalion shall include but not be limited to the topic areas 
and minimum number of hours as outlined in The Radar Time- 
Distance Operator Training Course. To qualify for radarf ime- 
distance operator re-certification, an applicant shall meet the 
minimum requirements as outlined m The Radar Time- 



J3:l 



NORTH CAROLINA REGISTER 



July I, 1998 



19 



PROPOSED RILES 



Distance Operator Trainiriiz Course and meet the requirements 
of 12 NCAC 9B .0408 and .0409. 

(4 e) Each combin e d r e cortification cours e for radar and 
tim e distance speed m e a s urem e nt instrum e nt op e rators shall 
includ e all topic ar e a s s p e c i fied in 12 NCAC QB .0220(d). 



The — additiona l — % — hours — m — the — tim e distanc e — & 



peed 



m e asur e m e nt instrum e nt operators r e certification course shall 

includ e but not b e l i m i t e d to th e follo\\int: topic ar e as and 

corresponding t e sting hours and incorporate the corresponding 

min i m u m train ee p e rformance obj e ctiv e s within th e cours e 

curriculum:Acad e m\. The "Radar Time-Distance Operator 

Training Course" as published b\ the North Carolina Justice 

AcademN is hereb\ incorporated In reference, and shall 

automaticalK include am later amendments and editions of 

the incorporated material as provided b\ G.S. 150B-21.6. to 

appK as basic curriculum for the radar time-distance operator 

re-certitlcation traininu course for radar time-distance 

operators as administered b\ the Commission. Copies of this 

publication ma\ be inspected at the office of the agenc\: 

Criminal Justice Standards Di\ ision 

North Carolina Department of Justice 

1 14 West Edenton Street 

Post Office Drawer 14Q 

Raieitzh. North Carolina 27602 

and ma\ be obtained at cost from the Academs at the 

following address: 

North Carolina Justice Academy 

Post Office Box 99 
Salemburg. North Carolina 28385 

f+4 Motor Skill P e rformanc e T e sting: 4 Hours 

D e monstrat i on of th e abilitx to prop e r!} 
setup, t e st, calibrat e , and op e rate the 
tim e distanc e instrum e nts for which th e 

op e rator — s ee ks — re c e rtification m 

accordanc e with crit e ria sp e cifi e d on 
standardiz e d — perfomianc e — e valuation 
forms. 

{3^ W rin e n T e st 1 Hour 

Total 5 Hours 

Aiiihorin- G.S. l'C-6. 

.0222 RE-CERTIFICATION COURSE FOR 
TIME-DISTANCE OPER.^TORS 

(a) Each r e c e nification The time-distance operator re- 
certitlcation training course fef — tim e distanc e — speed 
m e asur e ment instrum e nt (TD SMI) op e rator s shall consist of 
a minimum of 8 hours of r e vi e w and t e sting be designed to 
detennin e if th e individual poss e ss e s pro\ ide the trainee with 
the skills and knowledge to continue to proficientK perform 
those tasks e ss e ntial to the function as of a time-distance 
operator. This course shall be presented within a period not 
to exceed one week. 

(b) Each applicant for a time-distance operator 
re-certification course shall meet the requirements of 12 
NCAC9C .0308(c) and (d). 

(c) Federal law enforcement personnel shall be allowed to 
participate in time-distance operator re-certitlcation courses at 



the discretion of the school director without meeting the 
requirements specified in 12 NCAC 9B .0222(b). but such 
personnel must ha\e successfully completed the radar and 
TD SMI operator training course ( 1 2 NCAC 9B .02 1 3 ) or the 
TD SMI operator training course (12 NCAC 9B .0214). 

(d) The time-distance operator re-certification training 
course required for time-distance o perator re-certitlcation shall 
included but not be limited to the topic areas and minimum 
number of hours as outlined jn The Time-Distance O perator 
Traininiz Course. To q ualify for time-distance o perator re- 
certiflcation. an applicant shall meet the minimum 
requirements as outlined In The Time-Distance Operator 
Training Course and meet the requirements of 12 NCAC 9B 
.0408 and .0409. 



(de) Each tim e distanc e op e rator r e c e rtification cour se 
iclud e th e following topic ur e as and corr e sponding 



shak 



t e sting hours and incorporat e th e corr e sponding minimum 
train ee — p e rformanc e — obj e ctiv e s — within — the — cours e 
c urriculum:Acad e mv. The "Time-Distance Operator Training 
Course" as published b\ the North Carolina Justice .'Xcademv 
js hereb\ incorporated by reference, and shall automaticalK 
include an\ later amendments and editions of the incorporated 
material as pro\ ided by G.S. 150B-21.6. to appK as basic 
curriculum for the time-distance operator re-certiflcation 
training course for time-distance operators as administered b\ 
the Commission. Copies of thjs publication ma\ be inspected 
at the office of the aizenc\ : 

Criminal Justice Standards Di\ ision 

North Carolina Department of Justice 

1 14 West Edenton Street 

Post Office Drawer 149 

Raleigh. North Carolina 27602 

and ma\ be obtained at cost from the Academ\ at the 

following address: 

North Carolina Justice Academy 
Post Office Box 99 



Salemburg. North Carolina 28385 



Hour 



(4-) Cour se Ori e ntation: 

fA-) registration and d e scription of cours e : 

(-B-) review of th e p e rformanc e r e quirements for 

succ es sful — compl e tion — t>f — the — T D SMI 
op e rator r e c e ilitlca ti on cours e . 

^^ Legal and Op e rational Consid e rations: 1 ' ; Hours 

(-A^ r e vi e w of op e rator testing and calibration 

proc e dur e s: 

(-B-) rev i e w of r e quir e d op e rating proc e dur e s of 

time distance instrum e nts. 
{^ Motor Skill P e rf o rmanc e T e sting: 



4 Hour s 

(A-) d e mon s tration of th e abilitv to prop e rlv 

s e tup. — test — ca l ibrat e . — aftd — op e rat e — the 
tim e distanc e in s truments for which th e 
operator s ee ks r e c e rtification in accordanc e 
vv4th — crit e ria — sp e cifi e d — en — standardiz e d 
p e rformanc e e valuation forms: 

(-B-) demonstration of the abilit> to e stimat e 

vehicular sp ee d in accordanc e with crit e ria 
sp e cifi e d — en — standardiz e d — p e rfomianc e 



C 



2n 



\ORTH CAROLINA REGISTER 



July L 1998 



13:1 



PROPOSED RULES 



evaluation fonns. 
f4^ Writt e n T e st: 

Aiithorin- G.S. 17C-6. 



Tetal- 



2 Hours 
8 Hours 



SECTION .0300 - MINIMUM STANDARDS FOR 
CRIMINAL JUSTICE INSTRUCTORS 

.0301 CERTIFICATION OF INSTRUCTORS 

(a) Any person participating in a commission-accredited 
criminal justice training course or program as an instructor, 
teacher, professor, lecturer, or other participant making 
presentations to the class shall first be certified by the 
Commission as an instructor. 

(b) Any existing commission-issued certifications, 
excluding Radar Instructor Certifications and Radar and 
Time-Distance Speed Measurement Instrument Instructor 
Certifications, issued and valid on January 1. 1985 are 
automatically extended with an expiration date of December 
31. 1986. PreviousK' issued certitlcations with established 
expiration dates extending beyond December 31. 1986 are 
declared to be terminated and void on and after December 3 I . 
1986. All new applicants for instructor certification shall 
meet the requirements of this Section after Januan. 1. 1985. 
All applicants whose certification was prev iousK extended to 
December 31.1 986 shall meet the requirements of this Section 
on or before Januan. 1 . 1 987. 

(c) The Commission shall certifs instructors under the 
following categories: General Instructor Ceniflcation. 
Specific Instructor Certification or Professional Lecturer 
Certification as outlined in Rules .0302. .0304 and .0306 of 
this Section. Such instructor certification shall be granted on 
the basis of documented qualifications of experience, 
education, and training in accord with the requirements of this 
Section and reflected on the applicant's Request for Instructor 
Certification Fomi. 

(d) In addition to all other requirements of this Section, each 
instructor certified by the Commission to teach ]n a 
Commission-accredited course shall remain competent in 
his/her specific or specialty areas and shall attend and 
successfulK complete an\ instructor updates as deemed 
necessar\ and appropriate by the Commission. 

(de) The Standards Division ma\ notify an applicant for 
instructor certification or a certified instructor that a 
deficienc) appears to exist and attempt, in an advisor} 
capacity . to assist the person in correcting the deficienc\'. 

(ef) When any person certified as an instructor by the 
Commission is found to have know ingl\ and willfully violated 
an_\ provision or requirement of these Rules, the Commission 
ma\ take action to correct the violation and to ensure that the 
violation does not recur, including: 

( 1 ) issuing an oral warning and request for compliance; 

(2) issuing a written warning and request for 
compliance: 

(3) issuing an official written reprimand: 

(4) suspending the individual's certification for a 
specified period of time or until acceptable 
corrective action is taken bv the individual; 



(5) revoking the individual's certification, 
(fg) The Commission may deny, suspend, or revoke an 

instructor's certification when the Commission finds that the 

person: 

(1) has failed to meet and maintain any of the 
requirements for qualification; or 
has failed to remain currently knowledgeable in the 
person's areas of expertise; or 
has failed to deliver training in a manner consistent 
with the instructor lesson plans outlined in the 
"Basic Instructor Training Manual" as found in 12 
NCAC 9B .0209; or 

has failed to follow specific guidelines outlined in 
the "Basic Law Enforcement Training Course 
Management Guide: eq as found in 12 NCAC 9B 
.0205; or 

has demonstrated unprofessional personal conduct 
in the delivery of commission-mandated training; or 
has otherwise demonstrated instructional 
incompetence; or 

has knowingly and w illfully obtained, or attempted 
to obtain instructor certification by deceit, fraud, or 
m i sr e pr e s e ntation, misrepresentation; or 
has failed to meet or maintain good moral character 



(2) 
(3) 

(4) 

(5) 
(6) 
(7) 



m 



as required to effectively discharge the duties of a 
criminal justice instructor. 



SiLiliilory Authority G.S. I 'C-6. 

.0309 TIME-DISTANCE INSTRUCTORS 

In addition to all requirements contained in 12 NCAC 9B 
.0308 of this Section, applicants in this category shall 
complete a — ^ — kew an instructor training course in 
time-distance speed measurement as required in 12 NCAC 9B 
.02 I 1 . An applicant meeting the requirements for radar and 
TVD time-distance speed measurement instrument instructor 
certification shall be issued a certification to run concurrently 
with the existing radar instructor certification. 

Statutory Authority G.S. I "C-S. 

.0310 TERMS AND CONDITIONS -SMI 
INSTRUCTORS 

(a) The term of a radar Speed Measurement Instrument 
(SMI) instructor w — a — radar — and — tim e distanc e — speed 
m e asur e m e nt in s trument instructor is twe three years from the 
date the Commission issues the certificate, unless sooner 
terminated by the Commission. The certificate may be 
renewed for subsequent three year periods. The SMI 
instructor desiring renewal shall: 

( 1 ) Hold general instructor certification as required in 
12 NCAC 9B .0303. 

(2) Have been active in the SMI classroom 
instructional process during the previous 
certification period. 

(3) SuccessfulK complete a commission-approved SMI 
instructor re-certification course as required in 12 
NCAC 9B .02 18 or .02 1 9. 



13:1 



NORTH CAROLINA REGISTER 



July 1, 1998 



21 



PROPOSED RULES 



(b) All SMI instructors seeking re-certification shall 
successfulK complete the re-certitlcation course within 12 
months from expiration of the initial certification period or 
re-certification period. If re-certification training is not 
obtained within the 12-month period, successful completion 
of the appropriate instructor training program as required in 12 
NCAC 9B .0308 will be required to obtain instructor 
certification. This prescribed 12-month period does not 
extend the instructor certification period. 

Authority G.S. rC-6. 

.031 1 CERTIFIED INSTRUCTORS PRE 7/1/82 

An> radar or radar and time-distance sp ee d meai . ur e m e nt 
instrum e nt instructors certified pursuant to standards in effect 
between November 1. 1981 and July 1. 1982 shall continue to 
hold certification with full force and effect. The terms and 
conditions of 12 NCAC 9B .0310 shall appl\ to these 
instructors. 

Authority (J.S. I ~C-6. 

SECTION .0400 - MINIIVIUIVI STANDARDS FOR 
COMPLETION OF TRAINING 

.0404 TRAINEE ATTENDANCE 

(a) Each trainee enrolled in an accredited "Basic Recruit 
Training— Law Enforcement" course shall attend all class 
sessions. The trainee's department head shall be responsible 
for the trainee's regular attendance at criminal justice training 
courses in which the trainee is enrolled. 

(b) The school director ma) recognize \alid reasons for 
class absences and may excuse a trainee from attendance at 
specific class sessions. However, in no case ma\ excused 
absences exceed 1 percent of the total class hours for the 
course offering. 

(c) If the school director grants an excused absence from a 
class session, he shall schedule appropriate make-up work and 
ensure the satisfactory completion of such work during the 
current course presentation or in a subsequent course delivery 
as is permissible under Rule 9B .0405. 

(d) A trainee shall not be eligible for administration of the 
comprehensive written examination nor certification for 
successful course completion if the cumulative total of class 
absences, w ith accepted make-up w ork. exceeds ten percent of 
the total class hours of the accredited course offering and shall 
be expediently terminated from further course participation b\ 
the school director at the time of such occurrence. 

(e) A school director ma\ terminate a trainee from course 
participation or ma\ den\ certification of successful course 
completion where the trainee is habitual K tard\ to. or 
regularK departs earl\ from, class meetings or field exercises. 

(f) Where a trainee is enrolled in a program as required in 
12 NCAC 9B .0212. .0213. .0214. .0215. .0218. .0219. .0220. 
.0221. or .0222. and the scheduled course hours exceed the 
minimum reqLiirements of the Commission, the trainee, upon 
the authorization of the school director. ma\ be deemed to 
have satisfactoriK completed the required number of hours for 



attendance provided the trainee's attendance is not less than 
100 percent of the minimum instructional hours as required by 
the Commission. 

(g) A trainee enrolled in a presentation of the "Criminal 
Justice Instructor Training Course" under Rule .0209 of this 
Subchapter shall not be absent from class attendance for more 
than 10 percent of the total scheduled deliver) period in order 
to receive successful course completion. 

(h) A trainee, enrolled in a presentation of the local 
confinement facility course under Rule .0225 of this 
Subchapter, shall not be absent from class attendance for more 
than 10 percent of the total scheduled deliver) period in order 
to receive successful course completion. The school director 
shall schedule appropriate make-up work and ensure the 
satisfacton. completion of such work during the current course 
presentation for all absenteeism. 

(i) A trainee, enrolled in a presentation of the "Specialized 
Instructor Training - Firearms" course under Rule .0226 of 
this Subchapter, the "Specialized Instructor Training - 
Driving" course under Rule .0227 of this Subchapter, or the 
"Specialized instructor Training - Defensive Tactics" course 
under Rule .0232 of this Subchapter, shall not be absent from 
class attendance for more than 10 percent of the total 
scheduled delivery period in order to receive successful course 
completion. Appropriate make-up work must be completed 
during the cuiTent course presentation for all absenteeism. 

(}) A trainee, enrolled in a presentation of the "Radar 
Instructor Training Course" under Rule .0210 of this 
Subchapter, or the "Time-Distance Sp ee d M e asur e m e nt 
Instrum e nt Instructor Training Course" under Rule .021 1 of 
this Subchapter, shall not be absent from class attendance for 
more than 10 percent of the total scheduled delivery period in 
order to receive successful course completion. Appropriate 
make-up work must be completed during the current course 
presentation for all absenteeism. 

Authority (J.S. /'C-J,' l'C-6: l'C-10. 

.0408 COMPREHENSIVE WRITTEN 
EXAMINATION - B.\SIC 
CERTIFICATION 

(a) At the conclusion of the classroom instruction portion 
of a school's offering of the radar, radar and tim e distanc e and 
tim e distanc e any speed measurement instrument operators^ 
courses and re-certification courses, an authorized 
representative of the Commission shall administer to all 
candidates for certification as operators a comprehensive 
written examination. 

(b) The examination shall be an objective test covering the 
topic areas contained in the accredited course curriculum. 

(c) The Commission's representative shall submit to the 
school director within five da\s of the administration of the 
examination a report of the results of the test for each 
candidate for certification. 

(d) A trainee shall pass the operating training course as 
sp e cifi e d required in Rules 98 .0212. .0213. and .0214 b) 
achieving a minimum of 70 percent correct answers. 

|e) An operator seeking recertification shall pass the 



C 



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SORTH CAROL/.\A REGISTER 



July I, 1998 



13:1 



PROPOSED RULES 



operator training recertitlcation courses as specified in Rules 
9B .0220. .0221 and .0222 b>' aciiieving a minimum of 75 
percent correct answers. 

(f) A trainee who lias fully participated in a scheduled 
delivery of an accredited training course and has demonstrated 
100 percent competence in each motor-skill or performance 
area of the course curriculum but has failed to achieve the 
minimum score, as specified in (d) of this Rule, on the 
Commission's comprehensive written examination ma> 
request the director of the Standards Division to authorize a 
re-examination of the trainee. 

(1) The trainee's request for re-examination shall be 
made in writing on the Commission's fonn and shall 
be received b> the Standards Division within 30 
days of the examination. 

(2) The trainee's request for re-examination shall 
include the favorable recommendation of the school 
director who administered the course. 

(3) A trainee shall have, within 90 da\s of the original 
examination. onK one opportunity for 
re-examination and shall satisfactorily complete the 
subsequent examination in its entiret\ . 

(4) The trainee will be a s sign e d in uriting notified b\ 
the Standards Division staff of a place, time, and 
date for re-examination. 

(5) If the trainee fails to achie\e the prescribed 
minimum score on the re-examination, the trainee 
ma> not be recommended for certification and shall 
enroll and complete a subsequent course offering in 
its entiret} before further examination ma> be 
permitted. 

Authority G.S. rC-6. 

.0409 SATISFACTION OF MINIMUM TRAINING 
-SMI OPERATORS 

(a) To satisfy the minimum training requirements for 
operator certification, a trainee shall complete all of the 
following : 

( 1 ) ach ie\ e a score of 70 percent correct answers on the 
comprehensive written examination. pro\ ided for in 
12 NCAC9B .0408(d). 

(2) demonstrate successful completion of an accredited 
offering of courses as prescribed under either 12 
NCAC"9B .0210. .0211. .0212. .0213. .0214 or 
.0215 as shown by the certification of the school 
director. 

(3) demonstrate 100 percent proficiency in the 
motor-skill and perfomtance subject areas as 
demonstrated to a certified radar or tim e di s tanc e 
Speed Measurement Instrument (SMI) instructor 
and further e\idenced through documentation on 
the Commission's SMI 1. 2. 3 or I forms and b> the 
subscribing instructor's certification of trainee 
competence. 

(4) present e\ idence show ing co m p l eti on of a minimum 
of e ight hours of radar training prior to e nrollm e nt 
prior North Carolina certification in a 



commission-accredited operator training course as 
prescribed in 12 NCAC 98 .0212 or 12 NCAC 98 
.0213 .0213. or present evidence showing prior 
certification which meets or exceeds North Carolina 
certification, or present evidence showing 
completion of 16 hours of supervised field practice 
within 90 da\s after completing a 
commission-accredited radar operator training 
course as prescribed in 12 NCAC 98 .0212 or 12 
NCAC 98 .0213. 

(b) Any trainee failing to achie\e 100 percent proficiency 
in the motor-skill area may request written permission from 
the Director of the Standards Division for re-examination. 

(1) The trainee's request for re-examination shall be 
made in writing and must be received b\ the 
Standards Division within 30 da>s of the original 
examination. 

(2) The trainee's request for re-examination shall 
include the favorable recommendation of the school 
director who administered the course. 

(3) A trainee shall have, within 90 days of the original 
examination. onl\- one opportunity for motor-skill 
re-examination and must satisfactoriK complete 
each identified area of deficiencx on the original 
motor-skill examination. 

(4) The trainee will be ass i gn e d in writing notified by 
th e Dir e ctor of the Standards Division staff of a 
place, time and date for re-examination. 

(5) If the trainee fails to achieve the prescribed 
minimum score on the examination, the trainee will 
not be recommended for certification and shall 
enroll and complete a subsequent course offering in 
its entirety before further examination maN be 
permitted. 

(c) To satisf\' the minimum training requirements for 
operator re-certification, an operator seeking re-certification 
shall; 

(1 ) .AchieNe a score of 75 percent correct answers on 
the comprehensi\e written examination provided 
for in 12 NCAC 98 .0408(e). 

(2) Demonstrate successful completion of an accredited 
offering of courses as prescribed under either 12 
NCAC^gB .02 1 8, .02 1 9. .0220. .022 1 . or .0222 as 
shown b\ the certification of the school director. 

(3) Satisfx all motor-skill requirements as required in 
12 NCAC 98 .0409(a)(3). 

(d) At the time a trainee seeking operator re-certification 
fails to achieve the prescribed minimum requirements on the 
comprehensive written examination as specified in 12 NCAC 
98 .0409(c)( I ). certification of the officer automaticalK and 
immediateK terminates and that officer w ill not be re-certifled 
until successful completion of a subsequent course offering as 
prescribed under either 12 NCAC 98 .0210. .0211. .0212. 
.0213. or .0214 before further examination ma\ be pennitted. 

(e) At the time a trainee seeking operator re-certiflcation 
fails to achieve the prescribed minimum motor-skill 
requirements as specified in 12 NCAC 98 .0409(c)(3). 
certification of the officer automatically and immediateK 



13:1 



NORTH CAROLINA REGISTER 



July /. 1998 



23 



PROPOSED RULES 



terminates and that officer shall not be re-certified until 
successful completion of the required motor-skill testing. 
Provided, however, such an officer may request 
re-examination as prescribed in 12 NCAC 9B .0409(b). 

Authority U.S. rC-6. 

.0414 COMPREHENSIVE WRITTEN EXAM - 
SPECIALIZED INSTRUCTOR TRAINING 

(a) At the conclusion of a school's offering of the 
"Specialized Instructor Training - Fireanns" course, the 
"Specialized instructor Training - Driving" course, the 
"Specialized instructor Training - Defensive Tactics" course, 
the "Specialized Instructor Training - Physical Fitness" course, 
the "Radar instructor Training Course," the " Criminal Justic e 
TD SMI Time-Distance Instructor Training Course." the 
"Re-Certitlcation Training for Radar instructors" course, and 
the "Re-Certification Training for TDSMi Time-Distance 
instructors" course, in its entirets . an authorized representative 
of the Commission shall administer a comprehensive written 
examination to each trainee who has satisfactorilv completed 
all of the required course work. A trainee cannot be 
administered the comprehensive vsritten examination until 
such time as all of the pertinent course work is completed. 

(b) The examination shall be an objective test consisting of 
multiple-choice, true-false, or similar questions covering the 
topic areas contained in the accredited course curriculum. 

(c) The Commission's representative shall submit to the 
school director within five davs of the administration of the 
examination a report of the results of the test for each trainee 
examined. 

(d) A trainee shall successfullv complete the 
comprehensive written examination if he she achieves a 
minimum of 75 percent correct answers. 

(e) A trainee who fails to achieve the minimum score of 75 
percent on the Commission's comprehensive written 
examination shall not be given successful course completion 
and shall enroll and successfully complete a subsequent 
offering of the specialized instructor training course in its 
entirety before further examination mav be pemiirted. 

.Aiithtn-ir^G.S. rC-6: I'C-IO. 

.0416 S.4TISFACTION OF MINIMUM TRAINING 
-SMI INSTRUCTOR 

(a) To acquire sui.essful completion of the " Radar 
instructor Training Cour se ." th e "Tim e Distance Speed 
Measurement Instrument (SMI) Instructor Training Cours e 
Courses ." and the " R e C e rtification Training for Radar 
instructors" course and the "R e C e rtification Training for 
Tim e Di s tanc e — Sp ee d — M e asur e m e nt — instrum e nt SMI 
instructors Re-Certitlcation Courses " cour se, the trainee shall: 

( 1 ) satisfactorilv complete all required course v\ ork as 
specified in Rules .02 1 0. .02 1 1 . .02 1 8. and .02 1 Q of 
this Subchapter for the specific course in 
attendance: and. 

(2) achieve a score of 75 percent correct answers on a 
commission-administered comprehensive written 



examination, 
(b) if the trainee passes the written examination but fails to 
meet the minimum criteria on an area of motor-skills testing, 
he'she shall be authorized one opportunity' for a re-test. Such 
re-test must be at the recommendation of the school director 
and a request must be made to the Standards Division w ithin 
30 days of the original testing. Re-examination must be 
completed v\ ithin 90 davs of the original testing. Failure on 
the re-test requires enrollment in a subsequent instructor 
course. 

.Authority a. S. 17C-6: rC-lU. 

SUBCHAPTER 9C - ADMINISTRATION OF 

CRIMINAL JUSTICE EDUCATION 

AND TRAINING STANDARDS 

SECTION .0300 - CERTIFICATION OF CRIMINAL 
JUSTICE OFFICERS 

.0308 SPEED MEASUREMENT INSTRUMENT 

OPERATORS CERTIFICATION PROGRAM 

(a) Certification shall be issued in one of the following 
categories: 



(1) 



(2) 



radar operator Speed Measurement Instrument 
(SMI) certification or re-certification requiring 
successful completion of the training program as 
required in 12 NCAC 9B .0210. .0211, .0212. 
.0213. .0218, .0219, .0220, or .0221: .0221, or 
.0222: 

and 



(3) 



radar and time-distance speed measurement 
instrument operator certification or re-certification 
requiring successful completion of the training 
program as required in 1 2 NCAC 9B .02 1 1 . .02 1 3. 
.0219. or .0221: 

time-distance speed measurement instrument 

operator certification or re-certification requiring 

successful completion of the training program as 

required in 12 NCAC 98 .0211. .0213.^.0214. 

.0219, .0221, or .0222. 

(b) Certification in either category v\ ill reflect operational 

proficiencN in the designated type(s) of approved equipment 

for which the trainee has been examined and tested. Such 

certificati a shall be for a twe three vear period from the date 

of issue and re-certifications shall be for a three year period 

from the date of issue, unless sooner tenninated by the 

Commission. How e v e r, if r e t e sting on th e motor skill ar e a is 

n e c e ssary, r e c e rtification shall b e for a two v e ar p e riod froni 

th e dat e of issu e , unl e s s soon e r t e nn i nat e d bv th e Commission. 

At a minimum, the applicant shall meet the following 

requirements for operator certification or re-certification 

w ithin 90 davs of course completion and upon the presentation 

of documentary evidence showing that the applicant: 

( 1 ) has successfullv completed the training program as 
required in 12 NCAC 98 .0210. .0211. .0212. 
.0213. .0214. .0218. .0219. .0220. .0221. or .0222: 
and 

(2) has successfullv completed a 



24 



\ORTH C.4ROL/\A REGISTER 

m 



July I. 199S 



J 3:1 



PROPOSED RULES 



commission-accredited basic law enforcement 
training course as required in 12 NCAC 9B .0400 
and is currently ceilified in a probationary status or 
holds general law enforcement certification; or 
(3) if the applicant is a sheriff, deputy sheriff, or other 
sworn appointee with arrest authority governed by 
the provisions of Chapter 17E of the General 
Statutes, has met and is in total compliance with the 
then current employment and training standards as 
established and made effective for such position b\ 
the North Carolina Sheriffs' Education and Training 
Standards Commission. 

(c) Certified operators shall be notified b\ the Commission 
not less than 90 days prior to expiration of certification. All 
applicants for re-certification shall successful!} complete a 
commission-approved re-certification course within 12 months 
from the expiration of the previous certification. If 
re-certification is not obtained within the 12 month period, 
successful completion of the appropriate operator training 
programs as required by 12 NCAC 9B .0409(a) will be 
required to obtain operator certification. This prescribed 12 
month period shall not extend the operator certification period 
be>ond its specified expiration date. When a re-certification 
course is successfulK completed prior to the expiration of the 
previous certification, the new certification shall be issued b> 
the Criminal Justice Standards Division effective upon the 
receipt of the Post-del i\er\ Report of Training Course 
Presentation. 

(d) Re-certification shall be issued onl\ to officers with 
current lav\ enforcement certification. 

(e) All certifications issued pursuant to this Rule and the 
standards in effect between November 1, 1981 and July 1, 
1982 shall continue with full force and effect; however, said 
certifications shall be subject to the provisions of 12 NCAC 
9C .0308(c) and (d). 

AiilhorinG.S. rC-6. 



TITLE 15A - DEPARTMENT OF ENVIRONMENT 
AND NATURAL RESOURCES 



hearing Is being requested on. Written requests submitted by 
mail must be postmarked no later than July 16. 1998. 

Reason for Proposed Action: Funds from the Agriculture 
Cost Share Program may be combined with other potential 
funding sources to encourage the adoption of conservation 
practices to protect water qiialit}: Current program rules 
limit combined cost share fimding to ~5 percent of the cost of 
Best Management Practices iBMPs). Where agricultural land 
is entered into long term or permanent easements and all 
production capabilin- is prohibited, it is anticipated that 100 
percent funding for BMPs may be required to encourage 
participation by landowners. The proposed amendment 
would increase the cotnbined funding limit of the Agriculture 
Cost Share Program to 100 percent for BMPs installed on 
lands where a consen'ation practice requires the participant 
to relinquish all production capability' on his or her land for 
at least ten years. In no case would the Agriculture Cost 
Share Program contribution exceed the statutoiy limit of 75 
percent. 

Comment Procedures: .All persons interested in this 
proposed amendment are encouraged to submit written 
comments. Comments must be postmarked by July 3 1 . 1998 
and submitted to lemon Cox. Division of Soil & Water 
CotKcrvatlon. PO Box 2~68~. Raleigh. NC 27611. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of state or local governmetit funds. This Rule does 
not have a substantial economic impact of at least five million 
dollars <S 5. 000. 000) in a 12-month period. 

CHAPTER 6 - SOIL AND WATER 
CONSERVATION COMMISSION 

SUBCHAPTER 6E - .AGRICULTURE COST 

SHARE PROGRAM FOR NONPOINT 

SOURCE POLLUTION CONTROL 

SECTION .0100 - AGRICULTURE COST 
SHARE PROGRAM 



Notice Is hereby given in accordance with CS. 150B-2 1.2 
that the DE\R - Soil di Water Conservation 
Commission Intends to amend rule cited as I5A \C4C 6E 
.0105. Notice of Rule-making Proceedings was published in 
the Register on April 15. 1998. 

Proposed Effective Date: April I. 1999 

Instructions on How to Demand a Public Hearing (must be 
requested in writing within 15 days of nuticei: .4iiy person 
requesting that the Soil and Water Conservation Commission 
conduct a public hearing on this proposed amendment must 
submit a written request by July 16. 1998 to lemon Cox. 
Division of Soil <& Water Conservation. PO Box 2~68'. 
Raleigh. NC 2~61 1. The request must specif- which rule the 



.0105 COST SHARE AND INCENTIVE 
PAYMENTS 

(a) Cost share and incentive pa\ments ma\ be made 
through LTA's or AA's between the district and the applicant. 

(b) For all practices except those eligible for CSl. the state 
shall provide 75 percent and the applicant 25 percent of the 
average cost for BMP installation. In-kind contributions by 
the applicant shall be included in the applicants' cost share 
contribution. In-kind contributions shall be specified in the 
agreement for cost sharing and shall be approved by the 
district. 

(c) Payments for BMP's restricted to the CSl shall be 
limited to a maximum of three years per farm. 

(d) Average installation costs for each comparative area or 
reaion of the state and the amount of cost share incentive 



13:1 



NORTH CAROLINA REGISTER 



July /. I99H 



25 



j^RBJMMHlfli 



PROPOSED RULES 



payments shall be updated and revised annually by the 
division tbr approval b\ the commission. 

(e) The maximum total cost share payments to an applicant 
shall be limited to sevent;>'-five thousand dollars ($75,000) per 
year. 

(0 Cost share pa\ments to implement BMP's under this 
program may be combined with other funding programs, as 
long as the combined cost share rate does not exceed the 
amount and percentages set forth in Paragraphs (b) and (e) of 
this Rule. For special funding programs where the ap plicant 
relinquishes all production capability on his or her agriculture 
land for at least 10 \ears, combined funding ma\ equal up to 
100 percent. 

(g) Use of cost share payments is restricted to land located 
within the county approved for funding by the commission. 
In the situation where an applicant's fann is not located solely 
w ithin a county, the entire fann, if contiguous, shall be eligible 
for cost share payments. 

(h) Cost share contracts used on or for local, state or 
federal government land must be approved b\ the commission 
in order to avoid potential conflicts of interest and to ensure 
that such contracts are consistent w ith the purposes of this 
program. 

Aiilhorin'CJ.S. 139-4: 139-S: 143-215.74: 143B-294. 



Notice is hereby given in accordance with G.S. 150B-21.2 
ihaf the Coastal Resources Commission intends to 
amend rules cited as 15.4 NCAC 7H . 0308 and . 1 705. Notice 
of Rule-making Proceedings was published in the Register on 
February 16. 1998. 

Proposed Effective Date: .-ipril 1. 1999 

A Public Hearing will be conducted at 4:00 p.m. on July 23. 
1998 at the Hilton Hotel. 207 Southwest Greenville Blvd., 
Greenville. NC 2~834. 

Reason for Proposed Action: The proposed rules will allow 
replacetneni of sandbags within their permitted dimensions 
within the time period originally authorized by a C.4.M4 
permit, the protection of multiple buildings on the same 
property, and the incremental protection of buildings and 
roads. 

Comment Procedures: Contact Cliarles Jones. .4ssistant 
Director. 151-B Hwy. 24. Morehead Cit}: NC 28570. Written 
comments will be accepted through .luly 31.1 998. 

Fiscal Note: These Rules affects the expenditure or revenues 
of state government funds. These Rules do not have a 
substantial economic impact of at least five million dollars 
(85,000.000) in a 1 2-im>nlh period 

CHAPTER 7 - COASTAL MANAGEMENT 



SUBCHAPTER 7H - STATE GUIDELINES 
FOR AREAS OF ENVIRONMENTAL CONCERN 

SECTION .0300 - OCEAN HAZARD AREAS 

.0308 SPECIFIC USE STANDARDS 

FOR OCEAN HAZARD AREAS 

(a) Ocean Shoreline Erosion Control Activities: 
( I ) Use Standards Applicable to all Erosion Control 
Activities: 

(A) All oceanfront erosion response activities 
shall be consistent with the general policy 
statements in I5A NCAC 7M .0200. 

(B) Permanent erosion control structures may 
cause significant adverse impacts on the 
value and enjo\ment of adjacent properties 
or public access to and use of the ocean 
beach, and, therefore, are prohibited. Such 
structures include, but are not limited to: 
bulkheads; seawalls: revetments; jetties; 
groins and breakwaters. 

(C) Rules concerning the use of oceanfront 
erosion response measures apply to all 
oceanfront properties without regard to the 
size of the structure on the propeit\' or the 
date of its construction. 

(D) All permitted oceanfront erosion response 
projects, other than beach bulldozing and 
temporan. placement of sandbag structures, 
shall demonstrate sound engineering for thei: 
planned purpose. 

(E) Shoreline erosion response projects shall not 
be constructed in beach or estuarine areas 
that sustain substantial habitat for important 
fish and wildlife species unless adequate 
mitigation measures are incorporated into 
project design, as set forth in Rule .0306(1) 
of this Section. 

(F) Project construction shall be timed to 
minimize adverse effects on biological 
activit). 

(G) Prior to completing an\ erosion response 
project, all exposed remnants of or debris 
from failed erosion control structures must 
be removed b\ the permittee. 

(H) Erosion control structures that would 

otherv\ise be prohibited b\ these standards 

maN be permitted on finding that: 

(i) the erosion control structure is 

necessary to protect a bridge which 

provides the onl\ existing road access 

to a substantial population on a 

barrier island; that is \ital to public 

safety: and is imniinentK threatened 

b\ erosion; 

(ii) the erosion response measures of 

relocation, beach nourishment or 

temporan stabilization are not 



26 



NORTH CAROLINA REGISTER 



July I, 1998 



13:1 



PROPOSED RULES 



adequate to protect public health and 
safet\ : and 

(iii) the proposed erosion control structure 
will have no adverse impacts on 
adjacent properties in private 
ownership and will have minimal 
impacts on public use of the beach. 
(I) Structures that would otherwise be 

prohibited by these standards ma\ also be 

permitted on finding that: 
(i) the structure is necessars to protect an 
historic site of national significance, 
which is imminenth threatened b\ 
shoreline erosion; and 

(ii) the erosion response measures of 
relocation, beach nourishment or 
temporan. stabilization are not 
adequate and practicable to protect 
the site: and 

(iii) the structure is limited in extent and 
scope to that necessan to protect the 
site; and 

(iv) an\ permit for a structure under this 
Part (I) ma\ be issued onK to a 
sponsoring public agenc\ for projects 
where the public benefits clearl_\ 
out\seigh the short or long range 
adverse impacts. AdditionalK. the 
pennit must include conditions 
providing for mitigation or 
minimization by that agenc) of any 
significant and unavoidable adverse 
impacts on adjoining properties and 
on public access to and use of the 
beach. 
(J) Structures that would otherwise be 

prohibited b> these standards ma\ also be 

permitted on finding that: 

(i) the structure is necessar> to maintain 

an existing commercial navigation 

channel of regional significance 

within federalK authorized limits; and 

(ii) dredging alone is not practicable to 
maintain safe access to the affected 
channel; and 

(iii) the structure is limited in extent and 
scope to that necessary to maintain 
the channel; and 

(iv) the structure will not result in 
substantial adverse impacts to 
fisheries or other public trust 
resources; and 
(v) an\ pennit for a structure under this 
Part (J) ma\ be issued onl\ to a 
sponsoring public agencv for projects 
where the public benefits clearly 
outweigh the short or long range 
adverse impacts. AdditionalK. the 



permit must include conditions 

providing for mitigation or 

minimization by that agency of any 

significant and unavoidable adverse 

impacts on adjoining properties and 

on public access to and use of the 

beach. 

(R) Proposed erosion response measures using 

innovative technology or design will be 

considered as experimental and will be 

evaluated on a case-b>-case basis to 

determine consistencv with 15ANCAC 7M 

.0200 and general and specific use standards 

w ithin this Section. 

(2) Temporan. Erosion Control Structures: 

(A) Pennittable temporan, erosion control 
structures shall be limited to sandbags placed 
above mean high water and parallel to the 
shore. 

(B) Temporan, erosion control structures as 
defined in Part (2)(A) of this Subparagraph 
mav be used only to protect imminenth 
threatened roads and associated right of 
ways, and buildings and associated septic 
systems. A structure will be considered to 
be imminentK threatened if its foundation 
septic system, or right-of-wa\ in the case of 
roads, is less than 20 feet away from the 
erosion scarp. Buildings and roads located 
more than 20 feet from the erosion scarp or 
in areas where there is no obv ious erosion 
scarp may also be found to be imminently 
threatened when site conditions, such as a 
flat beach profile or accelerated erosion, tend 
to increase the risk of imminent damage to 
the structure. 

(C) 1 emporan, erosion control structures ma> be 
used to protect onl\ the principal structure 
and its associated septic s\ stem, but not such 
appurtenances as gazebos, decks or an>' 
amenity that is allowed as an exception to 
the erosion setback requirement. 

(D) Temporan, erosion control structures ma> be 
placed seaward of a septic system when 
there is no alternative to relocate it on the 
same or adjoining lot so that it is landward of 
or in line with the structure being protected. 

(E) Temporan,' erosion control structures must 
not extend more than 20 feet past the sides 
of the structure to be protected. The 
landward side of such temporary erosion 
control structures shall not be located more 
than 20 feet seaward of the structure to be 
protected or the righl-of-wa\ in the case of 
roads. 

(F) A temporan, erosion control structure ma\ 
remain in place for up to t\vo \ears after the 
date of approval if it is protecting a building 



13:1 



NORTH CAROLINA REGISTER 



July /, 199H 



27 



PROPOSED RILES 



(H) 



(J) 



(L) 



\\ ith a total floor area of 5000 sq. ft. or less, 
or. for up to tl\e years if the building has a 
total floor area of more than 5000 sq. ft. A 
temporan. erosion control structure ma\' 
remain in place for up to five \ears if it is 
protecting a bridge or a road. The property' 
owner will he responsible for removal of the 
temporary structure uithin 30 da\s of the 
end of the allowable time period. A 
temporary erosion control structure may 
remain in place for up to fi\e \ears 
regardless of the size of the structure if the 
communitx in which it is located is activeh' 
pursuing a beach nourishment project. For 
purposes of this Rule, a communitN is 
considered to be acti\eK pursuing a beach 
nourishment project if it has: 



(i) 



permit 



(ii) 



(ni) 



been issued a CAMA 
appro\ ing such project, or 
been deemed worth> of further 
consideration b> a U.S. Arm\ Corps 
of Engineers' Beach Nourishment 
Reconnaissance Stud\. or 
received a fa\orable economic 
e\aluation report on a federal project 
appro\ed prior to 1986. 
Once the temporary erosion control structure 
is determined to be unnecessary due to 
relocation or remo\al of the threatened 
structure, it must be remo\ ed b\ the property 
owner w ithin 30 da\s. 
Remo\al of temporary erosion control 
structures ma\ not be required if the\ are 
covered b\ dunes with vegetation sufficient 
to be considered stable and natural. 
The property owner shall be responsible for 
the remo\al of remnants of all portions of 
an> damaged temporary erosion control 
structure. 

Sandbags used to construct temporary 
erosion control structures shall be tan in 
color and three to t1\ e feet w ide and se\ en to 
1 5 feet long w hen measured flat. Base w idth 
of the structure shall not exceed 20 feet, and 
the height shall not exceed six feet. 
Soldier pilings and other r\pes of de\ ices to 
anchor sandbass shall not be allowed. 



G 



onstmction or a t e mporary e rosion control 
structur e can b o approx e d onl> onc e on any 
prop e rtv — r e gardl e ss of own e rship. An 
immanentK threatened structure ma\ be 
protected onlv once, regardless of 
ownership, hi the case of a building, a 
temporan erosion control structure ma\ be 
extended, or new segments constructed, if 
additional areas of the building become 
immanentK threatened. Where temporary 
structures are installed or extended 



incrementalK. the time period for removal 
under Part (F) of this Subparagraph shall 
begin at the time the initial erosion control 
structure is installed. For the purpose of this 
Rule: 
(D a building and septic svstem will be 

considered as separate structures. 

(ii) a road or highway' shall be allowed to 

be incrementalK protected as sections 

become immanentK threatened. The 

time period for remo\al of each 

section of sandbags shall begin at the 

time that section is installed in 

accordance with Part (F) of this 

Subparagraph. 

(M) Existing sandbag structures can be 

maintain e d — pro\id e d that th e — p e rmitt e d 

dim e nsions arc not e xc ee d e d, repaired or 

replaced within their originalK permitted 

dimensions during the time period allowed 

under Part (F) of this Subparagraph. 

(N) Existing sandbag structures that have been 

properK installed prior to Ma\ 1. 1995 shall 

be allowed to remain in place according to 

the provisions of Parts (F). (G) and (H) of 

this Subparagraph with the pertinent time 

periods beginning on Ma> 1. L995. 

(3) Beach Nourishment. Sand used for beach 
nourishment shall be compatible w ith existing grain 
size and type. Sand to be used for beach 
nourishment shall be taken onK from those areas 
where the resulting en\ ironmental impacts will be 
minimal. 

(4) Beach Bulldozing. Beach bulldozing (defined as 
the process of mo\ ing natural beach material from 
any point seaward of the first line of stable 
vegetation to create a protective sand dike or to 
obtain material for any other purpose) is 
de\elopment and ma> be pennitted as an erosion 
response if the following conditions are niet: 

(.A) The area on which this activity is being 
performed must maintain a slope of adequate 
grade so as to not endanger the public or the 
public's use of the beach and shall follow the 
pre-emergencv slope as closeK as possible. 
The movement of material utilizing a 
bulldozer, front end loader, backhoe. 
scraper, or any type of earth mo\ ing or 
construction equipment shall not exceed one 
foot in depth measured from the pre-acti\ ity 
surface ele\ ation; 

(B) The actiy ity must not exceed the lateral 
bounds of the applicant's property unless he 
has permission of the adjoining land 
oy\'ner(s); 

(C) Moyement of material from seaward of the 
loy\ water line will require a CAVI.A Major 
Deyelopment and State Dredge and Fill 



28 .\OR TH CAROLL\A REGISTER 

— III ■ ■'Il'illl'll' 



JtlWIIIHUI 



July I, 1998 



13:1 



PROPOSED RULES 



Permit; 

(D) The activity must not significantly increase 
erosion on neigiiboring properties and must 
not have a significant adverse effect on 
important natural or cultural resources; 

(E) The activity may be undertaken to protect 
threatened on-site waste disposal systems as 
well as the threatened structure's 
foundations. 

(b) Dune Establishment and Stabilization. Activities to 
establish dunes shall be allowed so long as the following 
conditions are met: 

{ 1 ) AnN' new dunes established shall he aligned to the 
greatest extent possible with existing adjacent dune 
ridges and shall be of the same general 
configuration as adjacent natural dunes. 

(2) Existing primar\' and frontal dunes shall not. except 
for beach nourishment and emergency situations, be 
broadened or extended in an oceanward direction. 

(3) Adding to dunes shall be accomplished in such a 
manner that the damage to existing vegetation is 
minimized. The filled areas will be immediateK 
replanted or temporarih stabilized until planting 
can be successfully completed. 

(4) Sand used to establish or strengthen dunes must be 
of the same general characteristics as the sand in the 
area in which it is to be placed. 

(5) No nev\ dunes shall be created in inlet hazard areas. 

(6) Sand held in storage in any dune, other than the 
frontal or primary une. may be redistributed w ithin 
the AEC provided that it is not placed an\ farther 
oceanward than the crest of a priman,' dune or 
landward toe of a frontal dune. 

(7) No disturbance of a dune area will be allowed when 
other techniques of construction can be utilized and 
alterative site locations exist to avoid unnecessary 
dune impacts. 

(c) Structural Accessways: 

(1) Structural accesswa\s shall be permitted across 
primary dunes so long as the\ are designed and 
constructed in a manner which entails negligible 
alteration on the priman. dune. Structural ac- 
cesswa\s may not be considered threatened 
structures for the purpose of Paragraph (a) of this 
Rule. 

(2) An accessvvay shall be conclusivel> presumed to 
entail negligible alteration of a primary dune: 

(A) The accessway is exclusively for pedestrian 
use; 

(B) The accessway is less than six feet in width; 
and 

(C) The accesswa) is raised on posts or pilings 
of five feet or less depth, so that wherever 
possible only the posts or pilings touch the 
frontal dune. Where this is deeined 
impossible, the structure shall touch the dune 
onl\ to the extent absolutely necessary. In 
no case shall an accessway be permitted if it 



will diminish the dune's capacity as a 
protective barrier against flooding and ero- 
sion; and 
(D) An> areas of vegetation that are disturbed 
are revegetated as soon as feasible. 

(3) An accessway which does not meet Part (2)(A) and 
(B) of this Paragraph shall be pennitted only if it 
meets a public purpose or need which cannot 
otherwise be met and it meets Part (2)(C) of this 
Paragraph. Public fishing piers shall not be deemed 
to be prohibited b> this Rule, provided all other 
applicable standards are met. 

(4) In order to avoid weakening the protective nature of 
primary- and frontal dunes a structural accessway 
(such as a "Hatteras ramp") shall be provided for 
any off-road vehicle (ORV) or emergency vehicle 
access. Such accessways shall be no greater than 
10 feet in width and shall be constructed of wooden 
sections fastened together over the length of the 
atTected dune area. 

(d) Construction Standards. New construction and 
substantial improvements (increases of 50 percent or more in 
value on square footage) to existing construction shall comply 
w ith the following standards: 

( 1 ) In order to avoid unreasonable danger to life and 
property, all development shall be designed and 
placed so as to minimize damage due to fluctuations 
in ground elevation and wave action in a 100 year 
storm. Any building constructed within the ocean 
hazard area shall comply with the North Carolina 
Building Code including the Coastal and Flood 
Plain Construction Standards, Chapter 34. Volume 
I or Section 39, Volume l-B and the local flood 
damage prevention ordinance as required by the 
National Flood Insurance Program. If any 
provision of the building code or a flood damage 
prevention ordinance is inconsistent with any of the 
following AEC standards, the more restrictive 
provision shall control. 

(2) All structures in the ocean hazard area shall be on 
pilings not less than eight inches in diameter if 
round or eight inches to a side if square. 

(3) All pilings shall have a tip penetration greater than 
eight feet below the lowest ground elevation under 
the structure. For those structures so located on the 
primaiy dune or nearer to the ocean, the pilings 
must extend to five feet below mean sea level. 

(4) All foundations shall be adequately designed to be 
stable during applicable fluctuations in ground 
elevation and v\ave forces during a 1 00 year storm. 
Cantilevered decks and walkwavs shall meet this 
standard or shall be designed to break-away without 
structural damage to the main structure. 



Aulhorily C.S. 11 3.4-1 O^la); 

II3A-ll3(h)(6)a..h..d: ! 13.4-124. 



113.4-IO'lh): 



SECTION .1700 - GENERAL PERMIT FOR 



13:1 



NORTH CAROLINA REGISTER 



July /. I99H 



29 



PROPOSED RULES 



EMERGENCY WORK REQUIRING A CAMA 
AND/OR A DREDGE AND FILL PERMIT 

.1705 SPECIFIC CONDITIONS 

(a) TemporaPi Erosion Control Structures in the Ocean 
Hazard AEC. 

(1) Permittable temporar\ erosion control structures 
shall be limited to sandbags placed above mean 
high water and parallel to the shore. 

(2) Temporarx erosion control structures as defined in 
Subparagraph ( I ) of this Paragraph ma> be used 
onK to protect imminent!) threatened roads and 
associated right of ways, and buildings and 
associated septic systems. A structure will be 
considered to be imminentl_\ threatened if its 
foundation, septic s\stem. or. right-of-\sa\ in the 
case of roads, is less than 20 feet awa\ from the 
erosion scarp. Buildings and roads located more 
than 20 feet from the erosion scarp or in areas 
where there is not ob\ious erosion scarp ma\ also 
be found to be imminentl\ threatened when site 
conditions, such as a fiat beach profile or 
accelerated erosion, tend to increase the risk of 
imminent damage to the structure. 

(3) Temporan erosion control structures may be used 
to protect onl\ the principal structure and its 
associated septic system, but not such 
appurtenances as gazebos, decks or an\ amenity 
that is allowed as an exception to the erosion 
setback requirement. 

(4) Temporary erosion control structures ma\ be placed 
seaward of a septic s\stem when there is no 
alternative to relocate it on the same or adjoining lot 
so that it is landward of or in line with the structure 
being protected. 

(5) Temporary erosion control structures must not 
extend more than 20 feet past the sides of the 
structure to be protected. The landward side of 
such temporary erosion control structures shall not 
be located more than 20 feet seaward of the 
structure to be protected or the right-of-wa\ in the 
case of roads. 

(6) The pemiittee shall be responsible for the remosal 
of remnants of all or portions of an\ damaged 
temporan erosion control structure. 

(7) A temporan.' erosion control structure ma\ remain 
in place for up to two >ears after the date of 
approval if it is protecting a building w ith a total 
floor area of 5000 sq. ft. or less. or. for up to five 
years if the building has a total floor area of more 
than 5000 sq. ft. A temporan erosion control 
structure mav remain in place for up to fi\e vears if 
it is protecting a bridge or a road. The property 
owner shall be responsible for removal of the 
temporan structure within 30 davs of the end of the 
allov\able time period. .A temporarv erosion control 
structure mav remain in place for up to five vears 
regardless of the size of the structure if the 



communirv in which it is located is actively 
pursuing a beach nourishment project. For 
purposes of this Rule, a community is considered to 
be activel> pursuing a beach nourishment project if 
it has: 

(A) been issued a CAMA permit approving such 
project, or 

(B) been deemed worthy of further consideration 
bv a U.S. Army Corps of Engineers' Beach 
Nourishment Reconnaissance Studv . or 

(C) received a favorable economic evaluation 
report on a federal project approved prior to 
1Q86. 

(8) Once the temporary erosion control structure is 
determined to be unnecessary due to relocation or 
removal of the threatened structure, it must be 
removed bv the permittee v\ ithin 30 davs. 

(9) Removal of temporarv erosion control structures 
shall not be required if thev are covered by dunes 
with vegetation sufficient to be considered stable 
and natural. 

(10) Sandbags used to construct temporary erosion 
control structures shall be tan in color and three to 
five feet wide and seven to 15 feet long when 
measured flat. Base w idth of the structure shall not 
exceed 20 feet, and the height shall not exceed six 
feet. 

(11) Soldier pilings and other types of devices to anchor 
sandbags shall not be allov\ed. 

(12) Excavation below mean high water in the Ocean 
Hazard .AEC mav' be allowed to obtain material to 
till sandbags used for emergencv protection. 

(13) Construct i on — of a t e mporarv — e rosion — control 
s tructur e sh all b e approv e d onlv onc e on anv 
prop e rty r e gardl e ss of own e rship. An immanentiv 
threatened structure mav onlv be protected once 
regardless of ownership, fn the case of a building. 
a temporan erosion control structure mav be 
extended, or new segments constructed, jf 
additional areas of the building become immanentiv 
threatened. W here temporan structures are 
installed or extended incrementally, the time period 
for removal under Subparagraph (7) ot" this 
Paragraph shall begin at the time the initial erosion 
control structure js installed. For the purpose of 
this Rule: 

(A) a building and septic svstem will be 
considered as separate structures. 

(B) a road or highwav shall be allowed to be 
in cremental Iv protected as sections become 
immanentiv threatened. The time period for 
removal of each section ot" sandbags shall 
begin at the time that section js installed in 
accordance w ith Subparagraph (7) of this 
Paragraph. 

(14) Existing sandbag structures mav be maintained 
p r ovide d that the permitt e d dim e nsions ar e not 

repaired or replaced within their 



30 



NORTH CAROLIXA REGISTER 



July /, /99H 



13:1 



PROPOSED RULES 



originally permitted dimensions during the time 
period allowed under Subparagraph (7) of this 
Paragraph. 
(15) Existing sandbag structures that have been properly 
installed prior to May 1, 1995 shall be allowed to 
remain in place according to the provisions of 
Subparagraphs (7). (8) and (9) of this Paragraph 
with the pertinent time periods beginning on Ma\ I, 
1995. 

(b) Erosion Control Structures in the Estuarine Shoreline. 
Estuarine Waters, and Public Trust AECs. Work permitted h\ 
this general permit shall be subject to the following 
limitations: 

( 1 ) no work shall be pemiitted other than that which is 
necessary to reasonably protect against or reduce 
the imminent danger caused b\ the emergenc\ or to 
restore the damaged property to its condition 
immediateh before the emergency; 

(2) the erosion control structure shall be located no 
more than 20 feet waterward of the endangered 
structure; 

(3) fill material used in conjunction with emergency' 
work for storm or erosio: mtrol in the Estuarine 
Shoreline. Estuarine Water- and Public Trust AECs 
shall be obtained from an upland source. 

(c) Protection. Rehabilitation, or Temporao. Relocation of 
Public Facilities or Transportation Corridors. 

(1) Work permitted b} this general permit shall be 
subject to the following limitations: 

(A) no work shall be permitted other than .lat 
which is necessaPi' to reasonabh protect 
against or reduce the imminent danger 
caused by the emergenc_\ or to restore the 
damaged propert\ to its condition 
immediateh before the emergency; 

(B) the erosion control structure shall be located 
no more than 20 feet waterward of the 
endangered structure; 

(C) any till materials used in conjunction with 
emergencN work for storm or erosion control 
shall be obtained from an upland source 
except that dredging for fill material to 
protect public highwa\s or other structures 
of public interest will be considered on a 
case-b\-case basis; 

(D) all fill materials or structures associated w ith 
temporar\ relocations which are located 
within Coastal Wetlands. Estuarine Water, or 
Public Trust AECs shall be removed after 
the emergenc\ event has ended and the area 
restored to pre-disturbed conditions. 

(2) This pemiit onK authorizes the immediate 
protection or temporar\ rehabilitation or relocation 
of existing public facilities. Long-tenn stabilization 
or relocation of public facilities shall be consistent 
with local go\ emments' post-disaster recover* plans 
and policies which are part of their Land Use Plans. 



Aiithorin- G.S. 113-229(cl): 1 ISA-KPtaUh): 113.4- 1 I3fb): 
113A-UH.I. 



W W W X w 



WWWKWWWWWKWWWW 



Notice is hereby given in accordance with G.S. I50B-2I.2 
that the Commission for Health Services intends to 
adopt the rule cited as 15A NCAC 18A .2543 and amend the 
rule(s) cited as 15 NC.4C 18A .2508. .2513. .2515. .251'- 
.2518. .2522. .2526. .2528. .2530-.2532. .2535. .253: .2539. 
Notice of Rule-making Proceedings was published in the 
Register on Octoter 15. 199". 

Proposed Effective Date: April 1. 1999 

A Public Hearing ir/// be conducted at 2:30 p.m. on .August 
5. 1998 at the .rchdale Building. Ground Floor Hearing 
Room. 512 N. Salisbury Street. Raleigh. NC. 

Reason for Proposed Action: Meetings with stakeholders 
resulted in proposed amendments to existing rules and 
proposed adoption of one new rule. 

Comment Procedures: Send comments to Jim Hayes, 
Environmental Health Services Section. PO Box 29534. 
Raleigh. NC 2 7626-0534. \\ ritten comments will be accepted 
through August 5. 1998. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of stale or local government fimds. These Rules do 
not hcn-e a substantial economic impact of at least Jive million 
dollars (S 5. 000. 000) in a 12-month period. 

CHAPTER 18 -ENVIRONMENTAL HEALTH 

SUBCHAPTER 18A -SANITATION 

SECTION .2500 - PUBLIC SWIMMING POOLS 

.2508 DEFINITIONS 

The following definitions shall appK throughout this 
Section: 

( 1 ) Equipment replacement means replacement of 
individual components of the hydraulic and 
disinfection sxstems such as pumps, filters, and 
automatic chemical feeders. 

(2) Ptiblic swimming pool means public swimming 
pool as defined in G.S. I30A-280. Public 
swimming pools are divided into three t\pes: 

(a) Swimming pools are all public swimming 
pools except spas and wading pools. 

(b) Spas are special facilities designed for 
recreational and therapeutic use which are 
not drained, cleaned, or refilled after each 
indi\ idual use. Spas may include, but not be 
limited to, units designed for h\drqiet 
circulation, hot water, cold water mineral 



13:1 



NORTH C.4ROUN.4 REGISTER 



July L 199H 



31 



PROPOSED RILES 



bath, air induction bubbles, or an> 
combination thereof. Common terminoiog> 
tor spas includes "therapeutic pool". 
"h\drotherap\ pool", "whirlpool", "hot spa", 
and "hot tub", 
(c) Wading pools are small, shallow swimming 
pools not more than 24 inches deep designed 
for use b\ children. 

(3 ) Remodeled means renovations requiring disruption 
of major portions of the pool shell or deck, changes 
in the pool profile, or redesign of the pool h_\draulic 
s}stem. Remodeled does not include equipment 
replacement or repair or addition of outlets for the 
purpose of reducing suction hazards. 

(4) Repair means repair of existing equipment, 
replastering or repainting of the pool interior, 
replacement of tiles or coping and similar 
maintenance acti\ities. This tenn includes 
replacement of pool decks where the Department 
has determined that no changes are needed to 
underKina pipes or other pool structures. 

Authority G.S. 130.4-282. 

.2513 SEVV.AGE SYSTEMS AND OTHER 
WASTEWATER DISPOSAL 

(a) Sewage shall be disposed of in a public sewer s\stem 
or. in the absence of a public sewer s>stem. b\ an appro\ed. 
proper!} operating sanitan. sewage s%stem. 

(b) There shall be no direct physical connection between 
the sewer s\stem and an\ drain from the swimming pool or 
circulation s\ stem. Am- 0\ert1ow from the sw imming pool. 
d e ck drain or o\ e rt1ow and discharges from the circulation 
system, w hen discharged to the sewer s\ stem, stonn drain or 
other approved natural drainage course, shall be discharged 
through a suitable air gap so as to preclude the possibilitv of 
back flow of sewage or other waste water into the sw imming 
pool or the swimming pool piping s\stem. Deck drainage 
shall be discharged through an indirect drain. 

.4iithorinG.S. 13IU-2S2. 

.2515 DESIGN DETAILS 

(a) Pools shall be designed and constructed to withstand all 
anticipated loadings for both full and empt\ conditions. 

(b) .A hxdrostatic relief \al\e shall be provided for 
in-ground sw imming pools which extend more than t\vo feet 
below the grade of surrounding land surface unless a gra\ ity 
drainage s\stem is provided. 

(c) Provisions shall be made for complete, continuous 
circulation of water through all areas of the swimming pool. 
Swimming pools shall have a circulation svstem with 
approved treatment, disinfection, and filtration equipment as 
required in these Rules. 

(d) The minimum depth of water in the swimming pool 
shall be three feet (0.91 m) except for special purpose 
swimming pools for which a minimum depth of less than three 
feet is required or for restricted or recessed areas in sw imming 



pools which are set aside primarily for the use of children and 
handicapped persons. Such areas when included as part of the 
swimming pool shall be separated from the swimming pool 
proper bv a safet> line supported bv buovs and attached to the 
side walls. 

(e) The maximum depth at the shallow end of the 
swimming pool shall be 3.5 feet (1.07 m) except for 
competitive or other special purpose swimming pools for 
which a minimum depth of greater than 3.5 feet is required. 

(f) Connections for safetv lines shall be recessed in the 
walls in a manner which presents no hazard to sw immers. 

(g) Decorative features such as planters, fountains, 
waterfalls and swim-up bars located on pool decks shall 
complv with the following: 

( I ) Shall not occupv more than 20 percent of the pool 
perimeter: 

11' located adjacent to a v\ater depth of grater than 
five feet, shall not be more than 20 feet v\ ide; 



ill 
0} 

14] 

til 



Shall not prov ide handholds or footholds that could 

encourage climbing above deck level: 

A walkway shall be prov ided to permit free access 

around decorative features and shall be as wide as 

the lesser of t1ve feet or the required deck width: 

Shall not obstruct the view of anv part of the pool 

from anv seating area: 

Features w ith mov ing water shall be separate from 

the pool recirculation svstem: 

Stools prov ided for sw im-up bars shall be located in 

a separate alcove from the swimming area with a 

depth of no more than 42 inches of water and shall 

be marked with a color w_hich contrasts with the 

pool bottom. 



Authnrln- G.S. 130.4-282. 

.2517 DIVLNG EQUIPMENT 

(a) When diving equipment is installed, it shall be located 
in the diving area of the pool so as to provide the minimum 
dimensions as shown in Tables I A and IB of this Rule and 
shall conform to the following specifications: 

( 1 ) Diving equipment shall be designed for sv\ imming 
pool use and shall be installed in accordance with 
the manufacturer's recommendations. 

(2) Installation instructions and specifications shall be 
prov ided \s ith each unit. 

(3) A label shall be permanentiv affixed to the diving 
equipment and shall include: 

(A) manufacturer's name and address; 

(B) board length; 

(C) tvpe of diving board: 

(D) fulcrum setting specifications if applicable. 

(4) Diving equipment shall have slip-resistant tread 
surfaces. 

(b) Supports, platfomis. and steps for diving equipment 
shall be of substantial construction, and of sufficient strength 
to carp, safelv the maximum anticipated loads. Steps shall be 
of corrosion-resistant design. Handrails shall be provided at 
all steps and ladders leading to div ing boards which are one 



32 



\ORTH C.AROL/.\.A REGISTER July /. 199S 

i^WJWIWIMlMMIIlMIIIJWI 



/.?.•/ 



PROPOSED RULES 



meter or more above the water. 

(c) There shall be a completely unobstructed clear vertical 
distance of 13 feet above any diving board measured from the 
center of the front end of the board. This area shall extend 
horizontally at least eight feet behind, eight feet to each side, 
and 16 feet ahead of Point A in Table 1 A. 



Table lA 



Maximum 
Board 
Length 


Maximum 
Board Height 
Above Water 


Board 

Overhang 

(Pt. A) 

Max. Min. 


Minimum Water 
Depths 

Dl D2 D3 


12' 


up to 30" 


S ' 


4'0" 


8'0" 


9'0" 


8 '3" 


16' 


1 Mtr. 


6' 


5'0" 


8'6" 


t^-^ lO'O" 


8'6" 


16' 


3 Mtrs. 


6' 


5'0" 


ir6" 


12'0" 


ir6" 



KEY TO ABBREVIATIONS: 

Pt A is the point on the water line of the pool directK beneath the end of the diving board. 

Dl is the depth of the water measured from the water line to the floor at the beginning of the radius connecting the end wall with 

the floor at the deep end of the pool. 

D2 is the depth of the water at the deepest point in the pool. 

D3 is the depth of the water at the point where the deep area of the pool meets the transition to the shallow area of the pool. 

Table 1 B 



Maximum 
Board 
Length 






Horizontal Distances 






Minimum 

Pool 

Width 


Minimum 
Separation 
Distances 




LI 


L2 


L3 L4 


L5 


L6 




F G 


12' 




7' 


10'3" 


Q'O" 


30' 


4' 


20' 


10' 


10' 


16' 


5 ' 


5' 


116" 


10'6" 


32' 


4' 


24' 


12' 


10' 


16' 


5' 


5 ' 


7'6" 


19'6" 


37 


-» / 
jt 


28' 


14' 


12' 



KEY TO ABBREVIATIONS: 

LI is the radius of the curve connecting the side wall to the floor at the deep end of the pool. 

L2 is the distance between the center of the radius connecting the end wall to the floor at the deep end of the pool and the deepest 

point in the pool. 

L3 is the distance between the deepest point in the pool and the beginning of the transition to the shallow area of the pool. 

L4 is the length of the transition zone. 

L5 is the total of LI + L2 + L3 + L4. 

L6 is the length of the shallow area of the pool. 

F is the distance between the side wall of the pool and the centerline of the diving board. 

G is the distance between the center lines of two adjacent di\ ing boards. 

(d) Public pools with diving facilities in excess of three meters in height, or pools designed for platform diving, shall be 
approved on a case-b\-case basis. 

(e) Minimum water depth for diving platforms used for racing starts during competition and practice shall be measured at a 



13:1 



NORTH CAROLINA REGISTER 



Jiilv I, 1998 



33 



i miwwwB 



PROPOSED RILES 



distance of 3 feet, 3 '2 inches (1.0 meter) to 16 feet. 5 inches (5.0 meters) from the end wal 
exceed the foilowina: 



Heisht of startino blocks shall not 



( 1 ) In pools with water depth less than 3 feet. 6 inches ( 1 .07 meters) at the starting end. raised starting platforms shall be 
prohibited. 

(2) In pools with water depth 3 feet. 6 inches ( 1.07 meters) to less than 4 feet (1.22 meters) at the starting end. starting 
platforms shall be no more than 1 8 inches (0.46 meter) above the water surface. 

(3 ) In pools with a water depth of 4 feet ( 1 .22 meters) or greater at the starting end. starting platforms shall be no more 
than 30 inches (0.762 meter) above the surface of the water. Starting platforms shall be constructed to be easih 
removed from the deck when the sw imming pool is used for other than competitive purposes. 



Authority U.S. 130.4-282. 

.2518 CIRCl LATION SYSTEM 

(a) Pools shall be equipped with a circulation s\stem. 

(b) The capacit\ of the circulation s>stem shall be 
sufficient to claritv and disinfect the entire \olume of 
swimming pool water four times in 24 hours. The s\stem 
shall be operated 24 hours per da\ during the operating 
season. 

(c) The piping of the circulation system shall be designed 
and installed so that the main drains, and the lines from the 
perimeter o\ert1ow s\stem or the automatic surface skimmers 
shall be connected to the suction line of the circulation pump. 

(d) The circulation piping shall be designed and installed 
with the necessan. \al\es and pipes so that the flow from the 
swimming pool can be from main drains or the surface 
overflow s>stem. The circulation piping shall be designed 
such the t1ow of water from the swimming pool can be 
simultaneous from the surface o\ erflow s\ stem and the main 
drains. Skimmer piping shall be sized to handle the maximum 
flow rate for the required number of skimmers, but in no case 
less than 50 percent of the design flow rate. Perimeter 
o\erflow sNstem piping shall be sized to handle 50 percent of 
the design flow rate. The main drain piping shall be sized to 
handle 50 percent of the design flow rate. 

(e) Piping shall be designed to reduce ft^iction losses to a 
minimum and to carr> the required quantity of water at a 
maximum \elocit> not to exceed six feet ( 1 .83 m) per second 
for suction piping and not to exceed 10 feet (2.44 m) per 
second for discharge piping except for copper pipe w here the 
velocity.' shall not exceed eight feet per second. Piping shall be 
of non-toxic material, resistant to corrosion, and able to 
withstand operating pressures. If plastic pipe is used, a 
minimum of Schedule 40 PVC shall be required except that 
flexible P\'C hoses which meet NSF Standard Number 50 
shall be allowed. Exposed pipes and \al\es shall be identified 
b> a color code or labels. 

( f) The circulation s\ stem shall include a strainer to pre\ ent 
hair. lint, and other debris from reaching the pump. A spare 
basket shall be pro\ ided. Strainers shall be corrosion-resistant 
with openings not more than ' 4 inch (6.4 mm) in size which 
shall pro\ide a free flow area at least four times the 
cross-section area of pump suction line and shall be accessible 
for dail\ cleaning. 

(g) .\ \acuum cleaning s\stem shall be pros ided to remo\e 
debris and foreign material which settles to the bottom of the 
swimming pool. Pools with more than two skimmers shall be 
proxided with a vacuum cleaning s\stem which is an integral 



part of the circulation s\stem. Connections shall be located at 
inter\als sufficient to reach the entire pool with a 50 foot hose. 
Skimmer \acuums ma\ be used in pools with two or fewer 
skimmers pro\ ided the skimmer basket remains in place while 
the \acuum is in operation. The \acuum cleaning s\stem shall 
be provided with \al\es and protective caps. 

ih) .\ rate-of-flow indicator, reading in liters or gallons per 
minute, shall be installed on the filtered water line and located 
so that the rate of circulation is indicated. The indicator shall 
be capable of measuring flows which are at least 1 '2 times the 
design flow rate, shall be accurate within 10 per cent of true 
flow, and shall be eas> to read. The indicator shall be 
installed in accordance with manufacturers' specifications. 

(i) A pump or pumps shall be provided with adequate 
capacity to recirculate the sw imming pool water four times in 
24 hours, and shall be so located as to eliminate the need for 
priming. If the pump or pumps, or suction piping is located 
above the overflow level of the pool, the pump or pumps shall 
be self-priming. The pump or pumps shall be capable of 
providing a flow adequate for the backwashing of filters. 
Unless headloss calculations are provided b> the designing 
engineer, pump design shall be based on an assumed total 
dvnamic head of 65 feet of water. Pumps three horsepower or 
smaller shall be National Sanitation Foundation (NSF) listed 
or verified b\ an independent third-part> testing laborator\ to 
meet all applicable provisions of NSF Standard Number 50. 
Verification shall include testing and in-plant qualitx control 
inspections. Larger pumps for which NSF listing is not 
available shall be approved on a case-bv-case basis. 

(i) Inlets. 

( 1 ) Inlets shall be prov ided and arranged to produce a 
uniform circulation of water and maintain a uniform 
disinfectant residual throughout the pool. 

(2) The number of inlets for anv sv\ imming pool with 
a surface area of 2.000 square feet ( 186 sq m). or 
less. v\ill be detennined based on return water flow. 
Flow rates (in gallons per minute) through various 
sized inlet branches shall not exceed those listed in 
Table 2 of this Rule. There shall be a minimum of 
four inlets for an\ swimming pool. For an\ pool 
w ith a surface area greater than 2.000 square feet 
( 186 sq m). the number of inlets shall be based on 
one inlet per 1 5 feet of perimeter or portion thereof 



Table : 



Inside Pipe Diameter 
1 inch 



GPM 
10 



34 



SORTH C.AROLIXA REGISTER 

""I" WIPWHI!"WllliLlJjy»«lllli[l| 



Jii/v L 199H 



13:1 



PROPOSED RULES 



1 Vi inches 
1 V2 inches 

2 inches 



20 
30 
50 



(3) When wail inlets are used, they shall be equally 
spaced around the perimeter. When floor inlets are 
used, they shall be spaced throughout the pool to 
accomplish a uniform recirculation. 

(4) Provision shall be made to perniit adjustment of the 
flow through each inlet, either with an adjustable 
orifice or provided with replaceable orifices to 
permit adjustments of the flows. 

(k) Drains. 

( 1 ) S w imming pools shall be provided w ith at least two 
main drain outlets which shall be located at the 
deepest section of the pool and connected by "T" 
piping. Connecting piping shall be sized and 
configured such that blocking any one drain will 
not result in flow through the remaining drains or 
pipes exceeding a velocity of six feet per second 
while handling 50 percent of the design fiow rate. 
The drains shall be capable of permitting the pool to 
be emptied completely. Drains shall be spaced not 
more than 30 feet (9. 1 m) apart, and not more than 
1 5 feet (4.6 m) away from the side walls. 

(2) Other systems which require suction outlets shall be 
provided with two drains with "T" connection pipe. 
This provision does not apply to capped vacuum 
outlets. 

(3) Outlet drain gratings shall have a total area of at 
least four times the area of the discharge pipe and 
shall be designed so as not to be readily removed by 
or create any hazard to bathers. 

(4) The outlet grate open area shall be such that when 
maximum flow of water is being pumped through 
the floor outlet, the \elocit\ through the open grate 
shall not be greater than one and one-half feet per 
second. Outlet grates shall be anchored and 
openings in grates shall be slotted and the 
maximum dimension of slots shall not be more than 
one-half inch. Where outlet fittings consist of 
parallel plates, of the anti-vortex type where the 
water enters the fittings from the sides, rather than 
through a grating facing upward, entrance velocities 
may be increased to six feet per second. 

(I) Surface Overflov\ Systems. 

( 1 ) Swimming pools shall be pro\ ided with a surface 
overflow system which shall be an integral part of 
the circulation s\stem and which shall consist of a 
built-in-place perimeter overflow system, a 
pre-fabricated perimeter overflow s\'stem, or 
recessed automatic surface skimmers. 

(2) Whenever a built-in-place perimeter o\erflow 
system or a pre-fabricated perimeter overflow- 
system is provided, it shall be designed and 
installed as follows: 

(A) The system shall be capable of handling 50 
percent of the circulation flow without the 



overflow troughs being flooded for any 
appreciable period of time; 

(B) A surge capacity shall be provided either in 
the system or by use of a surge tank; and the 
total surge capacity shall be at least equal to 
one gallon per square foot (41L per square 
meter) of swimming pool water surface area; 

(C) The water level of the swimming pool shall 
be maintained at, or slightly higher than, the 
level of the overflow rim of the perimeter 
overflows, except for the time needed to 
transfer all of the water which may be in the 
surge capacitN' back into the swimming pool 
after a period of use; provided that this 
transfer time shall not be greater than 20 
minutes; 

(D) When installed the tolerance of the overflow 
rim shall not exceed 1/4 inch (6.4 mm) as 
measured between the highest point and the 
lowest point of the overflow rim; 

(E) During quiescence, the overflow system 
shall be capable of providing continuously 
and automatically a skimming action to the 
water at the surface of the swimming pool; 

(F) The overflow troughs shall be installed 
completely around the perimeter of the 
swimming pool, except at steps, recessed 
ladders and stairs; 

(G) The exposed surfaces of the overflow trough 
shall be capable of providing a fi ,n and safe 
hand-hold; and 

(H) The overflow trough shall be cleanable and 
shall be of such configuration as to minimize 
accidental injury. 
(3) Whenever a recessed automatic surface skimmer or 
skimmers are installed, they shall be designed and 
constructed in accordance with Section 8 of the 
National Sanitation Foundation's Standard #50 for 
circulation system components for swimming pools, 
spas, or hot tubs, which is hereby incorporated by 
reference including any subsequent amendments 
and editions. This material is available for 
inspection at the Department of Environment, 
Health, and Natural Resources, Division of 
Environmental Health, 1330 St. Mar>'s Str ee t, 2728 
Capital Boulevard, Raleigh, North Carolina. 
Copies may be obtained from the National 
Sanitation Foundation, NSF International, 3475 
Plymouth Road, P.O. Box +46«, 130140, Ann 
Arbor, Michigan 4 8106 481 13-0140 at no cost a 
cost of seventN' dollars ($70.00). Recessed 
automatic surface skimmers shall be installed as 
follows: 

(A) The flow-through rate through any one 
recessed automatic surface skimmer shall be 
between 20 and 30 gallons per minute. 
Piping shall be sized to allow a flow of 30 
gallons per minute for each skimmer; 



13:1 



NORTH CAROLINA REGISTER 



July 7, 1998 



35 



PROPOSED RULES 



(B) There shall be at least one recessed 
automatic surface skimmer for each 400 
square feet (46 sq. m) of water surface area 
of the swimming pool or fraction thereof: 

(C) When two or more recessed automatic 
surface skimmers are required. the\ shall be 
so located as to minimize interference w ith 
each other and as to insure proper and 
complete skimming of the entire swimming 
pools water surface; 

(D) Skimmers shall not protrude into the 
swimming pool. Automatic surface skimmer 
or skimmers without a perimeter o%ert1ow 
SNStem. shall be installed so that the 
operating le\el of the pool is no more than 
nine inches below the finished deck le\el so 
that the deck can be used as a handhold. 

(m) Where flooded suction on the pump is not possible to 
prevent cavitation and loss of prime, skimmers shall have a 
de\ ice or other protection to prevent air entrainment in the 
suction line. The inlet to the equalizer line shall be pro\ ided 
vN'ith a grate. 

(n) Nothing in this Section shall preclude the use of a 
roll-out or deck-level t\pe of swimming pool. Such designs 
shall conform to the general provisions relating to surface 
overflovs sv stems. The design of the curb and handhold shall 
be approved by the Department based on detailed review of 
this feature of construction and evaluated in the light of 
proposed use of the swimming pool. 

(o) Nothing in this Section shall preclude the use of a 
surface overflow svstem v\hich combines both a perimeter 
overflow system and a recessed automatic surface skimmer or 
skimmers. 

Authorin- G.S. liUA-2H2. 

.ISU DECKS 

(a) Outdoor sv\ imming pools shall have a continuous deck 
extending completelv around the swimming pool. The width 
of the deck or walkwav shall provide at least six feet of clear 
walking space at all points. If the sv\imming area of the pool 
is 1600 square feet or larger, at least eight feet of clear 
walking space is required. 

(b) Indoor swimming pools shall have a continuous deck or 
walkwav extending completelv around the sv\ imming pool. 
The width of the deck shall provide at least five feet of clear 
v\alking space at all points. 

(c) Wading pools shall have a continuous deck extending 
completelv around the vsading pool. The v\idth of the deck or 
walkwav shall prov ide at least four feet of clear walking space 
at all points. 

(d) Spas shall have a continuous deck extending at least 
one-half wav around the spa. The width of the deck or 
vvalkvsav shall prov ide at least four feet of clear walking space 
at all points. 

(e) Whenever a diving board or slide is installed on a 
swimming pool, there shall be at least five feet (1.52 m) of 
unobstructed deck behind the div ine board or slide. 



(f) All deck areas and walkways shall be sloped at a grade 
of ' 4 inch to ' ; inch per foot to a deck drain or sheet drain to 
deck edge. Deck drains shall not be connected to the 
circulation system in any manner. 

(g) All decks and walkwav s shall have a slip-resistant, 
impervious surface: except that non-porous resilient artificial 
recreational surfaces ma\ be used if approved bv the 
Department. 

(h) Sufficient hose bibs shall be provided to allow all areas 
of the deck to be reached with a 100 foot hose. 

(i) Special purpose pools such as waterslides and wave 
pools may vary from the minimum deck area requirements to 
the extent necessary to accommodate the special features of 
the pool. 

(j) Special structures necessary to provide access to a 
public svsimming pool bv persons with disabilities shall be 
allowed to var> from the provisions of this Section to the 
extent necessarv to accommodate such access. Such structures 
shall be approved on a case-bv-case basis and shall be 
designed so as to minimize obstruction of the deck. 

(k) A]] decks shall be continuous with the top of the pool 
wall or kiurter and shall not be more than nine inches above the 
standard operating water level. 

Authority G.S. I30A'2'S2. 

.2526 DRESSING AND SANITARY FACILITIES 

(a) Dressing and sanitan. facilities shall be provided at all 
pools, except for pools at hotels, motels, condominiums, and 
apartments where pool use is restricted to residents or guests. 
At hotels, motels, condominiums and apartments vshere the 
farthest unit is more than 300 feet from the pool, as measured 
along walkwav s provided for access bv residents or guests to 
the pool area, toil e t s a toilet shall be prov ided. 

(b) Partitions shall be of durable material, not subject to 
damage bv water and shall be designed so that a waterwav is 
provided betv\een partitions and floor to permit thorough 
cleaning of the walls and floor areas w ith hoses and brooms. 

(c) Floors of the dressing facilirv shall be continuous 
throughout the areas. Floors shall have a slip-resistant surface 
that shall be relativelv smooth, to insure complete cleaning. 
Floor drains shall be prov ided. and floors shall be sloped not 
less than ' 4 inch per foot toward the drains to insure positive 
drainage. 

(d) Hose bibs shall be provided such that all parts of the 
dressing facility interior can be reached with a 50 fool hose. 

(e) The minimum criteria for dressing and sanitarv facilities 
shall be based upon the maximum bather load. 

(f) One water closet, one lavatorv. and one urinal shall be 
provided for the first 100 male users. One additional water 
closet. lavator>. and urinal shall be provided for each 
additional 200 male users or major fraction ther e of thereof up 
to a total of 500 users. Where user load exceeds 500 male 
users. U\o additional v\ater closets or urinals and one lavatory 
shall be provided for each additional 500 male users. Where 
the maximum bather load includes less than 50 male users, 
one water closet and one lavatorv will be sufficient. 

(g) Two v\ater closets and two lavatories shall be prov ided 



36 



\ORTH CAROLIWA REGISTER 



July 1, J 998 



13:1 



^ 



PROPOSED RULES 



for the first 100 female users. One additional water closet and 
lavatory shall be provided for each additional 100 female 
users or major fraction th e r e of thereof up to a total of 500 
users. Where user load exceeds 500 female users, two 
additional water closets and one lavatory shall be provided for 
each additional 500 female users. Where the maximum bather 
load includes less than 50 female users, one water closet and 
one lavatorx' will be sufficient. 

(h) Showers shall b e provided in th e proportion of on e for 
each 100 persons at the time of max i mum bath e r load. At 
least one shower shall be pro\ ided. 

(i) The water heater shall be inaccessible to users. The 
s> stem shall be designed such that water temperature at the 
shower heads and lavatories cannot exceed 110" Fahrenheit. 

(j) Soap dispensers for providing either liquid or powdered 
soap shall be provided at each lavaton, or inside shower. The 
dispenser shall be of all metal or plastic type, with no glass 
permitted in these units. 

(k) If mirrors are provided, they shall be of shatterproof 
materials. 

(1) Toilet paper holders shall be provided at each water 
closet combination. 



(7) 



(8) 



(9) 



device shall be activated: 

(a) at a height no less than 54 inches above 
grade for wire mesh access gates and at a 
height no less than 54 inches above the 
horizontal bottom rail of a picket/ornamental 
access gate; or 

(b) on the pool side of the gate at a distance of 
no less than three inches below the top of the 
gat e , gate provided there is no opening 
greater than one-half inch within 18 inches 
of where the latch release js activated when 
the gate is closed. 

Gates provided specifically for access to equipment 

rooms shall be locked at all times when not in use 

b\ the pool operator; 

Ground level doors and windows opening inside the 

pool enclosure must be self-closing or child 

protected; and 

Self-closing, self-latching gates shall not be 

required for gates which are kept locked, or for 

entrances where access is controlled by a gate 

attendant and a lifeguard is on dut) in the pool area. 



Aiiihorin- G.S. I30A-282. 

.2528 FENCES 

Swimming pools shall be protected by a fence, wall, 
building, or other enclosure, or an\ combination thereof, 
which completely encloses the swimming pool area such that 
all of the following conditions are met: 

( 1 ) Constructed so as to afford no external handholds 
or footholds. However, the use of wire mesh fences 
with a mesh size of 2' 4 inches or less is permitted; 

(2) A four foot (1.22 m) minimum height (from the 
outside approach) is provided entirely around the 
sw imming pool; 

(3) The horizontal space between vertical members of 
the enclosure shall not exceed four inches: where 
the horizontal s pace between vertical members 
exceeds 1 }i4 inches there shall be at least ^ 45 
inches between any horizontal bottom rails or 
stringers and the next horizontal rails or stringers: 

(4) The height of any opening under the bottom of the 
enclosure shall not exceed four inches ( 10 cm); 

(5) Openings under and through a fringe or barrier with 
the gate(s) closed shall be sized so that a 4''2 inch 
diameter sphere cannot be passed through the 
openings; 

(6) All gates and doors shall be equipped with 
self-closing and positive self-latching closure 
mechanisms and shall be equipped with locking 
devices. Gates provided to allow bathers access to 
the pool shall be located so as to open to the pool at 
a point where the water is less than five feet deep. 
On pools built after May 1. 1996, access gates shall 
open awa\ from the pool except when natural 
topography or other conditions dictate that it open 
inward. Release of the latch on the self-latching 



AiilhoiinG.S. 130A-282. 

.2530 SAFETY PROVISIONS 

(a) Swimming pools shall have lifesaving equipment 
conspicuously and convenientK' on hand at all times. A unit 
of lifesaving equipment shall include the following: 

(1) A light, strong pole not less than 12 feet long, 
including a body hook. 

(2) A minimum % inch diameter throwing rope as long 
as one and one-half times the maximum width of 
the pool or 50 feet, whichever is less, to which has 
been firml\ attached a U.S. Coast Guard approved 
ring buoy. A rescue tube or rescue can shall be 
accepted as a substitute for the ring buoy where it is 
accompanied by a lifeguard who has been trained to 
use it properN. 

(b) Two units of lifesaving equipment must be provided for 
any pool which exceeds 3,000 square feet ( 1 86 sq m) of total 
surface area. 

(c) When a swimming pool does not have at least one 
lifeguard on dut>, a sign shall be posted which has clearly 
legible letters of at least four inches (10 cm) in height stating: 
"WARNING-NO LIFEGUARD ON DUTY." In addition 
there shall be signs stating: "CHILDREN SHOULD NOT 
USE THE SWIMMING POOL WITHOUT ADULT 
SUPERVISION", and: "ADULTS SHOULD NOT SWIM 
ALONE". Wading pools which do not have a lifeguard inside 
the wading pool enclosure shall have a sign posted stating 
"WARNING NO LIFEGUARD ON DUTY". Such signs 
shall be mounted pcrmanentK. 

(d) A sig! prohibiting pets and glass containers in the pool 
area shall be provided. 

(e) A telephone capable of directK dialing 91 1 or other 
emergency notification system shall be provided and 
accessible to aM pool users within 300 feet of the pool. 



13:1 



NORTH CAROLINA REGISTER 



July 1, 199H 



37 



UUmMMl 



miB 



PROPOSED RILES 



Authority G.S. 130.4-282. 

.2531 WADING POOLS 

Wading pools shall meet all design specifications for 
swimming pools and wading pools included in Rules 
.25 12-. 2530 of this Section with the following exceptions: 

(1) Wading pools shall be ph\sicall\ separate from 
other public swimming pools except that a till pipe 
and valve from a swimming pool recirculation 
SNStem can be used to introduce water to a wading 
pool. 

(2) E\er> wading pool shall be equipped with a 
circulation s\stem which is separate from, and 
independent of the circulation system of the 
swimming pool. Such circulation s>stem shall at 
least consist of a circulating pump, piping, a filter, 
a rate-of-flow meter, a disinfectant feeder, two 
inlets, two main drains w ith "T" connecting piping, 
and one automatic surface skimmer. Indi\idual 
components of a wading pool s\stem must meet the 
criteria of Rule .2518 of this Section. 

(3) The capacitN of the circulation system shall be 
capable of filtering and disinfecting the entire 
\olume of water in the wading pool 12 times in 
e\er\ 24 hours. 

(4) Wading pools shall be equipped with main drains 
located at the deepest point of the wading pool and 
coxered b> gratings which meet the requirements of 
Rule .2518(k) of this Section. 

(5) Wading pools shall be equipped with a surface 
o\ ertlow s_\ stem capable of remo\ ing floating 
material. 

(6) Wading pools shall not be deeper than 24 inches 
(61 cm) at the deepest point. 

(7) Wading pools' floor slope shall not exceed one foot 
in 12 feet. 

(8) \\'ading pools shall be located in the \icinit> of the 
shallow end of the swimming pool, and shall be 
separated from the swimming pool h\ a fence or 
structure similar to that described in Rule .2528 of 
this Section, with an e nclosur e of at l e ast thre e f ee t 
high which shall be equipped w ith self-closing and 
positive self-latching closure mechanisms, and shall 
be equipped with permanent locking de\ ices. 

(9) Wading pools shall be designed to pro\ ide at least 
10 square feet per child. 

(10) Depth markers shall not be required at wading 
pools. 

.Authority G.S. 130.-1-282. 

.2532 SPAS AND HOT TL BS 

Spas and hot tubs shall meet all design specifications for 

swimming pools and wading pools included in Rules 

.25 12-. 2530 of this Section with the following exceptions: 

(1) The circulation s\stem equipment shall provide a 

turnover rate for the entire water capacitv at least 

once e\er\ 30 minutes. 



(2) The arrangement of water inlets and outlets shall 
produce a uniform circulation of water so as to 
maintain a uniform disinfectant residual throughout 
the spa. 

(3) A minimum of two inlets shall be provided with 
inlets added as necessarv to maintain required 
flowrate. 

(4) Water outlets shall be designed so that each 
pumping system in the spa (filter s> stems or booster 
s> stems if so equipped) provides the following: 

(a) Two drains connected b_v "T" piping. 
Connecting piping shall be of the same 
diameter as the main drain outlet. Filter 
system drains shall be capable of emptving 
the spa completelv . Drains shall be installed 
at least s ix inch es apart, three feet apart or 
located on two different planes of the pool 
structure." 

(b) Filtration s> stems shall provide at least one 
surface skimmer per 100 square feet, or 
fraction thereof of surface area. 

(5) The v\ater velocitv in spa or hot tub discharge 
piping shall not exceed 10 feet per second (3.05 
m/second): except for copper pipe v\here water 
velocirs shall not exceed eight feet per second (2.44 
m second). Suction v\ater velocitv in an\ piping 
shall not exceed six feet per second (1.83 
m second). 

(6) Spa recirculation svstems shall be separate from 
companion sw imming pools. 

(a) Where a tv\o-pumpsv stem is used, one pump 
shall prov ide the required turnover rate, 
filtration and disinfection for the spa water. 
The other pump shall prov ide water or air for 
hvdrotherapv turbulence v\ithout interfering 
with the operation of the recirculation 
svstem. The timer sw itch will activate onlv 
the h_v drotherapv pump. 

(b) Where a single tw o-speed pump is used, the 
pump shall be designed and installed to 
provide the required turnover rate for 
filtration and disinfection of the spa water at 
all times without exceeding the maximum 
filtration rates specified in Rule .25 IQ of this 
Section. The timer sw itch shall activate onlv 
the hvdrotherapv portion of the pump. 

(c) W here a single one-speed pump is used, a 
timer sv\ itch shall not be prov ided. 

(7) A timer switch shall be provided for the 
hvdrotherapv- turbulence svstem w ith a maximum of 
1 5 minutes on the timer. The sw itch shall be placed 
such that bathers must leave the spa to reach the 
sv\itch. 

(8) The maximum operational water depth shall be four 
feet ( 1 .22 m) measured from the water line. 

(9) The maximum depth of anv seat or sitting bench 
shall be two feet (61 cm) measured from the 
vvaterline. 



38 



SORTH CAROLI\A REGISTER 



July 1, 199S 



13:1 



^R 



PROPOSED RULES 



(10) A minimum height between the top of the spa/Tiot 
tub rim and the ceiling shall be 7' 2 feet. 

(11) Depth markers shall not be required at spas. 

(12) Steps, step-seats, ladders or recessed treads shall be 
provided where spa and hot tub depths are greater 
than 24 inches (61 cm). 

(13) Contrasting color bands or lines shall be used to 
indicate the leading edge of step treads, seats, and 
benches. 

(14) A spa or hot tub shall be equipped with at least one 
handrail (or ladder equivalent) for each 50 feet 
(15.2 m) of perimeter, or portion thereof to 
designate points of entn. and exit. 

(15) Where water temperature exceeds 90' Fahrenheit 
(32^ C). a caution sign shall be mounted adjacent to 
the entrance to the spa or hot tub. It shall contain 
the following warnings in letters at least '/2 inch in 
height: 

(a)^ CAUTION: 

(b) -Pregnant women: elderh persons, and 
persons suffering from heart disease, 
diabetes, or high or low blood pressure 
should not enter the spatiot tub w ithout prior 
medical consultation and pennission from 
their doctor; 

(c) -Do not use the spa hot tub while under the 
influence of alcohol, tranquilizers, or other 
drugs that cause drow siness or that raise or 
lower blood pressure: 

(d) -Do not use alone: 

(e) -Unsuper\ ised use b\ children is prohibited: 

(f) -Enter and exit slowly; 

(g) -Observe reasonable time limits (that is. 
10-15 minutes), then lea\e the water and 
cool down before returning for another brief 
sta>: 

(h) -Long exposure may result in nausea, 

dizziness, or fainting; 
(i) -Keep all breakable objects out of the area. 

(16) A sign shall be posted in the immediate \icinir\ of 
the spa or hot tub stating the location of the nearest 
telephone and indicating that emergenc\ telephone 
numbers are posted at that location. Those 
emergenc) telephone numbers shall include the 
name and telephone number of the nearest available 
police, fire or rescue unit, physician, ambulance 
service, or hospital. 

(17) A sign shall also be posted requiring a shower for 
each user prior to entering the spa or hot tub and 
prohibiting oils. bod> lotion, and minerals in the 
water. 

Authority G.S. 130.4-282. 

.2535 WATER QUALITY STANDARDS 

Water quality shall be maintained in accordance with the 
following: 

(1) The chemical qualit\ of the water shall be 



maintained in an alkaline condition at all times w ith 
the pH between 7.2 and 7.8. 

(2) The clarity of the water shall be maintained such 
that the main drain grate is readily visible from the 
pool deck at all times. 

(3) Disinfection shall be provided in accordance with 
manufacturers' instructions for all pools by a 
chemical or other process that meets the criteria 
listed as follows: 

(a) registered with the U.S. Enxironmental 
Protection Agenc\ for pool water or potable 
water; 

(b) pro\ ides a residual effect in the pool water 
which can be measured b\ simple portable 
field test equipment; 

(c) w ill not impart any immediate or cumulative 
adverse ph\ siological effects to pool bathers 
when used as directed; 

(d) will not produce an>' undue safety hazard 
when stored or used as directed; 

(e) will not damage or cause excessive wear of 
pool components or equipment; 

(f) will demonstrate reduction of total coliform 
and fecal coliform to a level at least 
equivalent to free chlorine at a level of one 
part per million in the same body of water. 

(4) When chlorine is used as the disinfectant, a free 
chlorine residual of at least one part per million 
(ppm) shall be maintained throughout the pool 
whenever it is open or in use. Pools which use 
chlorine as the disinfectant must be stabilized w ith 
cyanuric acid except at indoor pools or where it can 
be shown that cyanuric acid is not necessary to 
maintain a stable free chlorine residual. 

(5 ) When bromine or compounds of bromine are used 
as the disinfectant, a free bromine residual of at 
least two parts per million, shall be maintained 
throughout the pool whenever it is open or in use. 

(6) Automatic ch e mical foodcrs that ar e NSF li i -t e d 
steW — be — tts^d — wh e n — chlorin e . — bromin e . — or 
compound fi of bromin e ar e us e d as a disinf e ctant. 
Foederr. shall b e manufactur e d and instal le d in 
accordanc e with NSF standard number 50 which i s 
incorporat e d b> r e fer e nc e including an\ subs e qu e nt 



am e ndm e nts — aftd — e ditions 



This — mat e r i al — is 



availabl e for in s p e ction at th e D e partm e nt of 
Environm e nt. — Health, and Natural — R es ourc e s. 



m 



jf Environm e ntal H e alth. 1330 St. Mart's 



(7) 



Str ee t. Ral e igh. North Carolina. — Copier. ma\ b e 
obtain e d from the National Sanitation Found .rt+efh 
P.O. Box 1301 10. Ann Arbor. Michigan 18 113 
01 -4 at a cost of forty fiv e dollars (S 15.00). When 
chlorine or bromine are used as the disinfectant, 
automatic chemical feeders which meet NSF 
Standard Number 50 shall be used. 
When biguanide is used as the disinfectant, a 
residual of 30 to 50 parts per million shall be 
maintained throughout the pool whenever it is open 



13:1 



NORTH CAROLINA REGISTER 



July L 199S 



39 



PROPOSED RILES 



or in use. 

(8) When silver copper ion s\stems are used, the 
copper concentration in the pool water shall not 
exceed one part per million and a chlorine residual 
must be maintained in accordance with Paragraph 
(4) of this Rule. 

(9) The use of chlorine in its elemental (gaseous) form 
for disinfection of public swimming pools is 
prohibited. 

(10) Test kits or equipment capable of measuring 
disinfectant level and pH must be maintained at all 
public swimming pools. 

(11) The pool operator shall maintain written records of 
the operating conditions of each pool. Records 
shall be maintained at the pool site for a period of 
not less than six months. Records shall include the 
following: 

(a) daiK recording of the disinfectant residual in 
the pool; 

(b) dail> recording of pool water pH: 

(c) daiK recording of water temperature in 
heated pools: and 

(d) recording of acti\ities pertaining to pool 
water maintenance including chemical 
additions and filter backwash c>cles. 

(12) Water temperature in heated sw imming pools shall 
not exceed 90' Fahrenheit (32 C) and in heated 
spas shall not exceed 104" Fahrenheit (40'C). 

Authonn- U.S. 150.4-282. 

.2537 MAINTENANCE AND OPERATION 

(a) All public sw imming pools constructed or remodeled on 
or after Ma\ 1. 1991 shall be maintained and operated in 
accordance with the Rules of this Section. 

(b) On or after Ma> 1. 1993 all public swimming pools 
including those constructed prior to Ma\ 1. 1991 shall be 
maintained and operated in accordance with the following: 

( 1 ) All safetx pro\isions of Rule .2530 (a) and (b) of 
this Section shall be met. 

(2) Decks shall be structuralK sound and shall be 
maintained free of trip hazards or offsets greater 
than one-half inch resulting from deterioration or 
changes from the original deck profile. 

(3) There shall be no loose coping. 

(4) Artificial lighting shall be pro\ided for all pools 
used when natural lighting is not sufficient to make 
all parts of the pool and pool area clearK \isible. 

(5 ) Sw imming pools shall be protected b> a fence, wall, 
building, or other enclosure, or an\ combination 
thereof, which completel_\ encloses the swimming 
pool arear area to a height of at least 48 inches and 
is capable of prexenting small children from 
enterinii the pool area. All gates and doors shall be 
equipped with self-closing and positi\e self- 
latching closure mechanisms. Existing waterslide 
tlumes and other appurtenances are not required to 
be located inside the fence. 



(6) Depth markings shall be provided. 

(7) Drain covers shall be in good condition and 
securely attached. 

(8) Damaged face plates or fittings shall be repaired or 
replaced. 

(9) Unden\ater light niches shall be maintained or 
covered so as not to present a potential hazard to 
bathers. 

(10) Diving equipment and pool slides including stairs 
and railing shall be maintained in good working 
order. 

(11) A timer switch which allows no more than 15 
minutes of operation without manual resetting shall 
be used to control air blowers and h\drotherapy 
pumps on heated spas. 

(12) .All breaks in grade of the pool bottom including the 
leading edges of stair treads and seats and the tops 
of breakpoints where the slope of the bottom 
changes at a depth of fi\e feet ( 1 5m) or less shall be 
marked with a contrasting color band b\ Ma\ 1. 
2000. Contrasting color bands shall not be required 
where a registered engineer, registered architect or 
licensed swimming pool contractor certifies in 
writing that structural weakness or materials of 
construction prexent the installation of permanent 
markings. 

(13) On or after Ma_\ I. 1996 all heated spas shall post 
a caution sign as specified in Rule .2532 of this 
Section. 

(14) Pool maintenance shall include remo\al of debris 
from the water surface and bottom of the pool. 

(15) .All pool chemicals shall be stored in a clean. dr\. 
well ventilated area and shall be organized so as to 
prevent chemicals from reacting. 

(16) No submersible pumps or mechanical pool cleaning 
equipment shall be placed or used in the pool while 
bathers are in the pool. 

(c) The owner of a public swimming pool shall pro\ ide for 
the operation of the pool b\ a person or persons who shall be 
responsible to the owner for operation, maintenance, pool 
safety and recordkeeping. On or after Januan 1. 1999 public 
swimming pool operators shall ha\e successfully completed 
a Certified Pool Spa Operator course sanctioned b\ the 
National Swimming Pool Foundation. 10803 Gulfdale. Suite 
300. San Antonio. Texas 78216. or a course of instruction 
approved b> the department. 

Author in- G.S. 13fl.4-2S2. 

.2539 SUCTION HAZARD REDUCTION 

(a) At all public wading pools which use a single main 
drain for circulation of water, signs shall be posted stating: 
"W.ARNING To prevent serious injurv do not allow children 
in wading pool if drain cover is broken or missing". Signs 
shall be in letters at least one-half inch in height and shall be 
posted where thev are visible to people entering the v\ading 
pool. No public swimming pool shall operate v\ith a simile 
drain as the onlv outlet to anv pump. Where flov\ from a 



40 



\ORTH CAROL/.\A REGISTER 



July /, 1998 



13:1 




PROPOSED RULES 



single drain is balanced with flow from a surface skimmer the 
skimmer valve shall be kept in the open position and secured 
against tampering. 

(b) Operators of all public wading pools shall inspect pools 
daily to ensure the drain covers are in good condition and 
securely attached. 

Authority G.S. 130A-282. 

.2543 WATER RECREATION ATTRACTIONS 

(a) Water recreation attractions including water slides, 
wa\e pools, rapid rides. laz>' rivers, children's activity pools 
and other similar features can deviate from the requirements 
of this Section uith respect to pool profile, depth, freeboard. 
flow dynamics and surface skimming systems. The designing 
engineer or equipment manufacturer shall provide the 
Department with information to justify' such deviation as 
necessary for the proper function of the attraction. Water 
recreation attractions shall meet all other requirements of this 
Section. 

(b) Water slide landing pools with a capacity of less than 
60.000 gallons shall have a circulation and filtration system 
capable of turning ovei' the entire pool capacity every two 
hours. Where automatic chemical controllers are used the 
turnover time shall be no more than three hours. Landing pool 
dimensions shall be consistent with the slide manufacturer's 
recommendation. 

(c) When yvaterfalls are incorporated in water recreation 
attractions, they shall be constructed with no handholds or 
foothol s to a height of four feet to discourage climbing. 

Aulhont\G.S. 130A-282. 



TITLE 19A - DEPARTMENT OF 
TRANSPORTATION 

Notice Is hcfeby given in accofdaiice with G.S. I5()B-21 .2 
that the Sorth Carolina Department of Transportation - 
Division of Highways intends to amend rule cited as 19.4 
NCAC 2D .0816. Notice of Rule-making Proceedings was 
published in the Register on April I. 1998. 

Proposed Effective Date: April 1. 1999 

Instructions on How to Demand a Public Hearing: A 

detnand for a public hearing must be made in writing and 
mailed to Eniily Lee. N.C. DOT. PO Box 25201. Raleigh. NC 
2761 1. The demand must be received within 15 days oj this 
Notice. 

Reason for Proposed Action: .Several proposed amendments 
strengthen the Department's ability to disqiialify firms from 
bidding on DOT contracts. One proposed amendment 
ensures there is no conflict of interest .^etween current DOT 
employees and private firms doing business with DOT 



Comment Procedures: Any interested person may submit 
written comments on the proposed rule by mailing the 
comments to Emily Lee. NC DOT, PO Box 25201, Raleigh, 
NC 27611. by. July 31. 1998. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of state or local government funds. This Rule does 
not ha\-e a substantial economic impact of at least five million 
dollars (S5. 000,000) in a 12-month period. 

CHAPTER 2 - DIVISION OF HIGHWAYS 

SUBCHAPTER 2D - HIGHWAY OPERATIONS 

SECTION .0800 - PREQUALIFICATION: 

ADVERTISING AND BIDDING 

REGULATIONS 

.0816 DISQUALIFICATION OF BIDDERS 

(a) The Department may disqualify a contractor from 
further bidding until he has applied for and has been 
requalified in accordance with Rule .0801 of this Section for 
an>' of the follovsing reasons: 

(I) unsatisfactory progress in accordance with the 
terms and conditions of existing or previous 
contracts as specified in Article 108-8 or Article 
105-7 of the Standard Specifications for Roads and 
Structures. 

{^ b ei ng d e clared in default in accordance with Articl e 

108 Q of the Standard Sp e cifications for Roads and 
Structur e s. 
(^{2} uncompleted contracts which, in the Judg e m e nt 
judgment of the Chief Engineer, may hinder or 
prevent the timely completion of additional work if 
awarded. 



f4^ failur e 



4e- 



comply ¥»4#i prcqualification 



r e quir e m e nts. 
{&) th e s ubmission of mor e than one bid for the sam e 

contract by an ind i vidual, partn e r s hip, joint v e ntur e . 

er — corporation — pr e qualifi e d — und e r — the — sa m e 

Pr e quu l ification Numb e r. 
{^ e vid e nc e — of collusion — among — bidd e rs: — each 

participant in such collusion wi l l b e disqua l itl e d. 
f7-) failur e to furni s h a non collu si on affidavit upon 

f^(3) failure to comply with Article 108-6 of the Standard 
Specifications for Roads and Structures. 



{^ failur e to comply with a writt e n ord e r 



j f t he 



m)lA} 



Engin ee r as provided in Articl e — 10 5 1 — of th e 
Standard Sp e cifications for Roads and Structur e s or 
oral dir e ctiv e s given by the D e partm e nt's proj e ct 
p e r s onn el , i f in th e Judgm e nt of th e Chi e f Eng i ne e r 
such fa i lure is of suffici e nt magnitud e to warrant 
disqualificat i on. 

failure to satisfy the Disadvantaged Business 
Enterprise requirements of the project special 
provisions. 



13:1 



NORTH CAROLINA REGISTER 



July I, 1998 



41 



I MMBMmAdWdl M 



PROPOSED RILES 



H+>- 



H^ii) 



th e D e partm e nt has not r e ceived th e amount du e 
und e r a forf e it e d bid bond or und e r th e t e rm;:, of a 
p e rformanc e bond. 

failure to submit the documents required b\ Article 
109-9 of the Standard Specifications for Roads and 
Structures w ithin 60 days after being requested b\' 
the Engineer, or the submission of false 
information. 



t+iV 



t6J 



-fetk 



dir e ct e d b\ th e 



iilur e to r e turn ov e rpayTn e nt s as 
Engineer. 
recruitment of Department employees 



for 



emplo\ment. 
(b) The Department shall disqualify a contractor from 
further bidding until he has applied for and has been 
requalified m accordance uith Rule .0801 of this Section for 
any of the following! reasons: 

( 1 ) beinjj declared in default in accordance w ith .Article 
108-9 of the Standard Specifications for Roads and 
Structures, 
failure to comply ysith prequalification 



ill 

01 



requirements. 

the submission ot' more than one bid for the same 
contract by an indiy idual. partnership, joint venture. 
or corporation prequalified under the same 



Prequalification Number. 

(4) ey idence of collusion among bidders: each 
participant in such collusion shall be disqualified. 

(5) failure to furnish a non-collusion affidavit upon 
request. 

(6) failure to comply yyjth a written order of the 
Engineer as provided rn Article 105-1 of the 
Standard Specifications for Roads and Structures or 
oral directives given In the Department's project 
personnel, if in the judgment of the Chief Engineer- 
Operations such failure js of sufficient maiznitude to 
vvartant disqualification. 

(7) the Department has not received the amount due 
under a forfeited bid bond or under the tenns of a 
performance bond. 

(8) failure to return overpayments as directed bv the 
Engineer. 

fM(c) Upon a determination that a contractor should be 
disqualified for one or more of the reasons listed in Paragraph 
(a) or(bj of this Rule, the Department mav remove all entities 
prequalified under the same Prequalification Number. 

AiahonnG.S. 136-18(1 1: 136-28.1. 



42 



.\ORTH C.4ROLIX4 REGISTER 



Jii/v 1, 1998 



13:1 



APPROVED RULES 



This Section includes the Rci^ister Notice citation to Rules approved by ihc Rules Review Commission (RRC) at its meeting 
of April 20. 1998 pursuant to G.S. 150B-21.l7(a)( I) and reported to the Joint Legislative Adtninistrative Procedure 
Oversight Committee pursuant to G.S. 150B-21. 16. The full text of rules are published below when the rules have been 
approved bv RRC in a form different from that originally noticed in the Register or when no notice was required to be 
published in the Register. The rides published in full text are identified by an * in the listing of approved rules. Statutory 
Reference: G.S. 150B-21.I7. 

These rules wiless otherwise noted, will become effective on the 31st legislative day of the 1998 Short Session of the General 
Assemblv or a later date if specified by the agency unless a bill is introduced before the 31st legislative day that specifically 
disapproves the rule. If a bill to disapprove a rule is not ratified, the rule will become effective either on the day the bill 
receives an unfavorable final action or the day the General Assembly adjourns. Statutory reference: G.S. l?l)B-2f3. 



APPROVED RULE CITATION 



REGISTER CITATION TO THE 
NOTICE OF TEXT 



13:1 



02 


NCAC 


34 


.0102* 


12:14 NCR 1234 


02 


NCAC 


34 


.0302 -.0303* 


12:14NCR 1237 


02 


NCAC 


34 


.0306* 


12:14 NCR 1239 


02 


NCAC 


34 


.0308 - .0309* 


12:]4NCR 1239 


02 


NCAC 


34 


.03 1 2 


12:14NCR 1240 


02 


NCAC 


34 


.0313* 


12:14 NCR 1240 


02 


NCAC 


34 


.0323 


]2:14NCR1241 


02 


NCAC 


34 


.0325* 


12:I4NCR 1241 


02 


NCAC 


34 


.0328* 


12:14NCRI241 


02 


NCAC 


34 


.0401* 


12:14NCR 1241 


02 


NCAC 


34 


.0402 


12:14NCR 1242 


02 


NCAC 


34 


.0403* 


I2:14NCR 1242 


02 


NCAC 


34 


.0406 


12:14 NCR 1242 


02 


NCAC 


34 


'501 -.0507* 


12:14 NCR 1242 


02 


NCAC 


34 


.0508 


12:14NCR 1247 


02 


NCAC 


34 


.0602* 


12:14 NCR 1247 


02 


NCAC 


34 


.0604 - .0605* 


12:14 NCR 1248 


02 


NCAC 


34 


.0701* 


12:14NCR 1249 


02 


NCAC 


34 


.0703* 


I2:14NCR 1250 


02 


NCAC 


34 


.0803* 


12:14 NCR 1250 


02 


NCAC 


34 


.0Q02* 


12:14NCR 1251 


02 


NCAC 


34 


.0P04* 


12:14NCR 1251 


02 


NCAC 


34 


,1101* 


12:14NCR 1252 


07 


NCAC 


04R 


.0900- .0912* 


12:13NCR 1174 


07 


NCAC 


04 R 


.0913 


I2:13NCR 1174 


07 


NCAC 


04 R 


.09 14 -.09 15* 


!2:13NCR 1174 


07 


NCAC 


05 


.0203 


12:16NCR 1511 


10 


NCAC 


03U 


.0302* 


12:13NCR 1101 


10 


NCAC 


03 U 


.0704* 


12:13NCR 1110 


10 


NCAC 


03U 


.0710* 


12:13NCR 1113 


10 


NCAC 


03 U 


.0806* 


12:13NCR 1118 


10 


NCAC 


03 U 


.1702* 


12:13NCR 1121 


10 


NCAC 


03U 


.1720* 


12:13NCR 1128 


10 


NCAC 


26H 


.0602 


12:15NCR 1419 


11 


NCAC 


12 


.1801 -.1802 


12:15NCR 1424 


11 


NCAC 


12 


.1803 -.1804* 


12:15 NCR 1424 


15A 


NCAC 


OIJ 


.040! -.0402 


12:14 NCR 1266 


15A 


NCAC 


02 D 


.0105* Amended Eff. May 1. 1998 


not required. G.S 


15A 


NCAC 


02D 


.0535* 


12:08 NCR 0650 


15A 


NCAC 


02D 


.0927 


12:08 NCR 0652 


15A 


NCAC 


02 D 


.1102 


12:08 NCR 0653 


15A 


NCAC 


02 D 


.1103 -.1104* 


12:08 NCR 0653 




NOR TH CA ROLINA REGISTER July 


/, 199H 



150B-21. 



43 



APPRO\ ED RULES 



15A 


NCAC 


02 D 


.1106* 




15A 


NCAC 


02 D 


.1201 




15A 


NCAC 


02 D 


.1205 




15A 


NCAC 


020 


.0101 - 


.0102 


15A 


NCAC 


020 


.0301 




15A 


NCAC 


020 


.0501 




15A 


NCAC 


02O 


.0701 - 


.0702* 


15A 


NCAC 


02O 


.0703 - 


.0704 


15A 


NCAC 


02O 


.0705* 




15A 


NCAC 


02O 


.0706 




15A 


NCAC 


02O 


.0707 - 


.0709* 


15A 


NCAC 


02O 


.0710- 


.0713 


15A 


NCAC 


02R 


.0101 - 


.0102* 


15A 


NCAC 


02R 


.0201 - 


.0203* 


15A 


NCAC 


02R 


.0301 - 


.0302* 


15A 


NCAC 


02R 


.0401 - 


.0403* 


]5A 


NCAC 


02R 


.0501 - 


.0504 


15A 


NCAC 


03.1 


.0202* 




15A 


NCAC 


03 M 


.0513 




15A 


NCAC 


07H 


.1601 




15A 


NCAC 


07H 


.1604* 




15A 


NCAC 


07H 


. 1 605 




15A 


NCAC 


lOB 


.0113* 




15A 


NCAC 


lOB 


.0202 - 


.0203* 


15A 


NCAC 


JOB 


.0209* 




15A 


NCAC 


JOB 


.0216* 




15A 


NCAC 


IOC 


.0203* 




15A 


NCAC 


IOC 


.0205* 




15A 


NCAC 


IOC 


.0212 




15A 


NCAC 


IOC 


.0304 




15A 


NCAC 


IOC 


.0401* 




15A 


NCAC 


IOC 


.0402 




15A 


NCAC 


IOC 


.0407 




15A 


NCAC 


lOD 


.0002 - 


.0004* 


15A 


NCAC 


lOF 


.0102- 


.0103* 


15A 


NCAC 


lOF 


.0104- 


.0105 


15A 


NCAC 


lOF 


.0109 




15A 


NCAC 


lOF 


.0345 




15A 


NCAC 


lOF 


.0347 




15A 


NCAC 


lOG 


.0402 - 


.0403 


15A 


NCAC 


lOH 


.0802* 




15A 


NCAC 


lOH 


.0810* 




16 


NCAC 


06C 


.0602*. 


Amends: 


16 


NCAC 


07 


.0202* 




17 


NCAC 


05 B 


.1402* 


^epeale 


17 


NCAC 


05 B 


.1703* 


^epeale 


17 


NCAC 


05 E 


.0103 




18 


NCAC 


06 


.1104* 




18 


NCAC 


06 


.1206* 




18 


NCAC 


06 


.1212* 




18 


NCAC 


06 


.1401* 




18 


NCAC 


06 


.1509* 




18 


NCAC 


06 


.1"02 - 


.1703* 


18 


NCAC 


06 


.1705- 


.1706* 


18 


NCAC 


06 


.1805* 




18 


NCAC 


06 


.1811* 




21 


NCAC 


02 


.0213* 




21 


NCAC 


02 


.0901 - 


.0910* 



^•08 NCR 0658 
08 NCR 0665 
08 NCR 0665 
08 NCR 0674 
08 NCR 0679 
08 NCR 0683 
08 NCR 0684 
08 NCR 0686 
08 NCR 0687 
08 NCR 0688 
08 NCR 0689 

08 NCR 0690 
14 NCR 1267 
14 NCR 1268 
14 NCR 1269 
14 NCR 1269 
14 NCR 1271 
12 NCR 1003 
12 NCR 1003 
27 NCR 2071 
27 NCR 2071 
27 NCR 2071 
12 NCR 1004 
12 NCR 1004 
12 NCR 1004 
12 NCR 1004 
12 NCR 1010 
12NCR 1010 
12 NCR 1010 
12 NCR 1010 
12 NCR 1010 
12 NCR 1010 
12 NCR 1010 
12 NCR 1029 
12 NCR 1039 
12 NCR 1039 
12 NCR 1039 
12 NCR 1039 
12 NCR 1039 

12 NCR 1044 

13 NCR 1137 

13 NCR 1137 
12 NCR 1050 
07 NCR 0533 

not required. G.S. 
not required. G.S. 
14NCR 1286 

14 NCR 1312 
14 NCR 1314 
14 NCR 1315 
14 NCR 1316 
14 NCR 1319 
14 NCR 1320 
14 NCR 1322 
14 NCR 1333 

12:14 NCR 1333 
12:09 NCR 0795 

09 NCR 0796 



12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 



11 
12 

12 
12 



12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 
12 



12 
12 

12 
12 
12 
12 
12 



50B-2 1.5(a) 
50B-2 1.5(a) 



44 



\ORTH CAROLISA REGISTER 



July L 1998 



13:1 



APPROVED RULES 



21 
21 
21 
21 

21 
21. 
21 
21 

21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
21 
11 



21 

21 
21 
21 
21 
21 



21 
21 



NCAC 08A .0301* 

NCAC 08A .0309* 

NCAC 08F .0103* 

NCAC 08F .0105 

NCAC 08F .0302* 

NCAC 08F .0401 

NCAC 08F .0410 

NCAC 08G .0404* 

NCAC 08H .0001* 

NCAC 081 .0004 -.0005 

NCAC 08 J .0001 

NCAC 08J .0005 -.0006* 

NCAC 08J .0008 

NCAC 08J .0010* 

NCAC 08K .0301 

NCAC 08M .0101 -.0102* 

NCAC 08M .0201* 

NCAC 08M .0204* 

NCAC 12 .0204* 

NCAC 14H .0005* 

NCAC I4J .0501* 

NCAC 14K .0003* 

NCAC 14N .0102* 

NCAC 14N .0107* 

NCAC 14N .0113* 

NCAC 18B .0107*AmendedEff. Ma\ 1. 1998 

NCAC 18B .0209* Amended Eff. May 1, 1998 

NCAC 18B .0404* Amended Eff. May 1. 1998 

NCAC 18B .0802*Amended Eff May 1. 1998 

NCAC 18B .0904* Amended Eff May 1. ,998 

NCAC 42E .0102 

NCAC 46 .1414*AmendedEff August I. 1998 

NCAC 46 .1813*Amended Eff August 1. 1998 

NCAC 46 .261 1* Amended Eff August 1. 1998 

NCAC 48A .0103* 

NCAC 48A .0105* 

NCAC 48C .0401* 

NCAC 48D .0102* 

NCAC 48D .0105* 

NCAC 48D .0112* 

NCAC 48F .0102* 

NCAC 48G .0203* 

NCAC 48G .0404* 

NCAC 48G .0601* 

NCAC 50 .0301 

NCAC 50 .0306 

NCAC 50 .0404 -.0405 

NCAC 50 .05 10 -.05 11 

NCAC 50 .1102 

NCAC 50 .1104 

NCAC 56 .0103* 

NCAC 56 .0104 

NCAC 56 .0401* 

NCAC 56 .0403* 

NCAC 56 .0404 -.0405 

NCAC 56 .0501 -.0503* 

NCAC 56 .0505* 

NCAC 56 .0601 -.0603* 



12; 
12: 
12: 



12: 
12: 
12; 
12: 
12: 



12;13NCR 1139 
12;13NCR 1140 
12:13NCR 1140 

13 NCR 1142 

13 NCR 1142 

13 NCR 1143 
12;13NCR 1143 
12:13 NCR 1143 
12:13 NCR 1145 

13 NCR 1145 
;13NCR 1146 

13 NCR 1147 

13 NCR 1148 

13 NCR 1148 
12;13NCR 1148 
12:13 NCR 1148 
12:13NCR 1149 
12:13 NCR 1149 
12:04 NCR 0292 
12:11 NCR 0925 
12:11 NCR 0925 
12:11 NCR 0925 
12:11 NCR 0925 
12:11 NCR 0925 
12:11 NCR 0925 

not required. G.S. 1508-21. 5(a)(3) 
not required, G.S. 150B-2 1.5(a)(3) 
not required. G.S.I 50B-2 1 .5(a)(3) 
not required. G.S. 1 50B-2 1 .5(a)(3) 
not required, G.S. 150B-21.5(a)(3) 
12:12 NCR 1058 
not required, G.S. 150B-21.5 
not required, G.S. 1508-21,5 
not required, G.S. 1508-21.5 
12:13 NCR 1150 
12:13 NCR 1151 

;13NCR 1153 

;I3NCR 1153 

;13NCR 1154 

;13NCR 1154 

: 13 NCR 1155 

;13NCR 1156 

;13NCR 1156 

:13NCR 1157 

; 16 NCR 1490 

;16NCR 1490 

:16NCR 1490 

:16NCR 1490 

;16NCR 1490 

:16NCR 1490 
12:16NCR 1492 
12:16 NCR 1492 
12:16 NCR 1492 
12:16 NCR 1492 
12:16NCR 1492 
12:16NCR 1492 
12:16NCR 1492 
I2:16NCR 1492 



12 
12 
n 



12 
12 
12 



12 
12 
12 
12 



13:1 



NORTH CAROLINA REGISTER 



July 1, 199H 



45 



APPROVED RULES 



21 


NCAC 


56 


.0606 


21 


NCAC 


56 


.0701 


21 


NCAC 


56 


.0702 


21 


NCAC 


56 


.0901 


21 


NCAC 


56 


.0902 


21 


NCAC 


56 


.1102 


21 


NCAC 


56 


.1105 


21 


NCAC 


56 


. 1 1 06 


21 


NCAC 


56 


.1201 


21 


NCAC 


56 


.1203 


21 


NCAC 


56 


. 1 205 


21 


NCAC 


56 


.1301 


21 


NCAC 


56 


.1403 


21 


NCAC 


56 


.1409 


21 


NCAC 


56 


.1411 


21 


NCAC 


56 


. 1 602 


21 


NCAC 


56 


. 1 604 


21 


NCAC 


56 


. 1 703 


21 


NCAC 


56 


.1704 


21 


NCAC 


56 


.171 1 


21 


NCAC 


68 


.0101 


21 


NCAC 


68 


.0102 


21 


NCAC 


68 


.030 1 


21 


NCAC 


68 


.0302 


21 


NCAC 


68 


.0303 


21 


NCAC 


68 


.0304 


21 


NCAC 


68 


.0306 


21 


NCAC 


68 


.0602 


21 


NCAC 


68 


.0603 


21 


NCAC 


68 


.0608 


26 


NCAC 


04 


.0101 


26 


NCAC 


04 


.0201 


26 


NCAC 


04 


.0202 


26 


NCAC 


04 


.0203 



.1 104=" 



.1302=" 



-.1603* 



- . I 705 



■Amended Eff. Aimust 1. 1998 



.0307 



12 
12 
12 

12 
12 
12 
n 



12 
12 
12 
12 
12 



.0204 



16 NCR 
16 NCR 
16NCR 
16NCR 
16NCR 
16NCR 
16 NCR 
16 NCR 
16NCR 
16NCR 
16NCR 
16 NCR 
16NCR 
16 NCR 
16 NCR 
16NCR 
16NCR 
16NCR 
16 NCR 
16NCR 
15 NCR 
not required 
15 NCR 
15 NCR 
15 NCR 
15 NCR 
15 NCR 
15 NCR 
15 NCR 

15 NCR 
16NCR 
16NCR 

16 NCR 
I6NCR 



12 
12 
12 
12 
12 
12 
1 -I 



12 
12 



1492 

1492 

1492 

1492 

1492 

1492 

1492 

1492 

1492 

1492 

1492 

1492 

1492 

1492 

1492 

1492 

1492 

1492 

1492 

1492 

1426 

. G.S. 150B-2 1.5(a)(2) 

1426 

1426 

1426 

1426 

1426 

1426 

1426 

1426 

1 508 

1 508 

1508 

1508 



TITLE 2 - DEPARTMENT OF AGRICULTURE 

CHAPTER 34 - STRUCTURAL PEST CONTROL 
DIVISION 

SECTION .0100 - DEFINITIONS AND STANDARDS 

.0102 DEFINITIONS 

I or the purpose of interpretation of the rules. regLilations. 
definitions, and requirements of the North Carolina Struetural 
Pest Control Committee and the Structural Pest Control Law, 
and unless otheruise required b\ the context, the following 
definitions shall prevail, to wit: 

( 1 ) "Act and'Or law" means the Structural Pest Control 
Act of North Carolina of 1955. 

(2) "Acti\e infestation of a specific organism" means 
evidence of present acti\il_\ b\ that organism, 
visible in. on. or under a structure, or in or on 
debris under the structure. 

(3) "Active ingredient" means an ingredient which will 
or is intended to pre\ent. destro\. repel, or mitigate 
an\ pest. 



(4) "Acutel_\ toxic rodenticidal baits" means all baits 
that, as formulated, are classified as Toxicit\ 
Category I or II (Signal Word "Danger" or 
"Warning" ) under 40 CFR Part 156.10. 

(5) "Board of Agriculture" means the Board of 
Agriculture of the State of North Carolina. 

(6) "Commercial certified applicator" shall mean an\ 
certified applicator emplo\ed b\ a licensed 
individual. 

(7) "Commercial structLire" means an> structure which 
is not a residential structure: including bi.it not 
limited to shopping centers, offices, nursing homes, 
and similar structures. 

(8) "Complete surface residual spra\" means the 
over-all application of an\ pesticide b\ spra\ or 
otherwise, to an\ surface areas within, on. under, or 
adjacent to. an\ structure in such a manner that the 
pesticide w ill adhere to surfaces and remain toxic to 
household pests and rodents or other pests for an 
extended period of time. 

(9) "Continuing education units" or "CEU" means units 
of noncredit education awarded b\ the Di\ ision of 



46 



NORTH CAROLINA REGISTER 



July I. I99H 



13:1 



unjauAUiLUweiJuiiuEnnaHnni 



waamitmfmmm 



APPROVED RILES 



Continuing Studies. North Carolina State 
Uni\ersitN or comparable educational institution. (21) 

for satisfactorily completing course work. 

( 10) "Continuing certification unit" or "CCU" means a 
unit of credit awarded b> the Di\ision upon 
satisfactory completion of one clock hour of (22) 
classroom training. 

(11) "Crack and crevice application" means an 
application of pesticide made directly into a crack (23) 
or void area with equipment capable of delivering 

the pesticide to the target area. ( 24 ) 

(12) "Deficient soil sample" shall mean an\ soil sample 
which, when anaKzed. is found to contain less than 
25 percent, expressed in parts per million (ppm ). of 

the tenniticide applied by a licensee which would (25) 

be found if the termiticide had been applied at the 
lowest concentration and dosage recommended by 
the labeling. 

(13) "Department" means the Department of Agriculture 

and Consumer Services of the State of North (26) 

Carolina. 

( 14) "Disciplinarx action" means an_\ action taken b\ the 
Comminee as pro\ ided under the provisions of G.S. 
106-65.28. (27) 

(15) "Division" means the Structural Pest Control 
Division of the Department of Agriculture and 
Consumer Services of the State of North Carolina. (28) 

(16) "Enclosed space" means an> structure by whatever 
name known, including household structuies. 
commercial buildings, warehouses, docks, vacant 
structures, and places where people congregate. 

such as hospitals, schools, churches, and others; (2*)) 

railroad cars, trucks, ships, aircraft, and common 
carriers. It shall also mean vaults, tanks, chambers. (30) 

and special rooms designed for use. being used, or 
intended to be used for fumigation operations. 

(17) "Enforcement agencv" means the Structural Pest 
Control Division of the Department of .Agriculture 
and Consumer Services of the State of North 
Carolina. 

(18) "EP.A" means the Env ironmental Protection .Agencv (31) 
of the L'nited States Government. 

(IQ) "EPA registration number" means the number 

assigned to a pesticide label b_v EPA. 
(20) "Flammable pesticidal fog" means the fog dispelled 

into space and produced: 

(a) from oil solutions of pesticides tuieiv 
atomized b\ a blast of heated air or exhaust (32) 
gases from a gasoline engine, or from 
mixtures of water and pesticidal oil solutions 

passed through a combustion chamber, the 

water being converted to steam, w hich exerts 

a shearing action, breaking up the pesticidal Ol') 

oil into small droplets (thermal fog); or 

(b) from oil solutions of pesticides which are 
forced through verv narrow space by 
centrifugal force and atomized as the\ are (34) 
thrown off into the air (mechanical or cold 



togs). 
"Fog or fogging" means micron sized particles of 
pesticide(s) dispersed b> means of a thermal or 
centrifugal fogger or a pressurized aerosol 
pesticide. 

"Fumigation" means the use of fumigants w ithin an 
enclosed space, or in. or under a structure, in 
concentrations vshich mav be hazardous to man. 
"Fumigation crew" or "crew" means personnel 
performing the fumigation operation. 
"Fumigation operation" means all details prior to 
application of fumigant(s). the application of 
fumigant(s). fumigation period, and post fumigation 
details as outlined in these Rules. 
"Fumigation period" means the period of time from 
application of fumigant(s) until ventilation of the 
fumigated structure(s) is completed and the 
structure or structures are declared safe for 
occupancv for human beings or domestic animals. 
"Fumigator" means a person licensed under the 
provisions of G.S. 106-65. 25(a)(3) or certified 
under the provisions of G.S. 106-65. 25(e)( 1 ) to 
engage in or supervise fumigation operations. 
"Gas-retaining cover" means a cover which will 
confine fumigant(s) to the space(s) intended to be 
fumigated. 

"General fumigation" means the application of 
fumigant(s) to one or more rooms and their contents 
in a structLire. at the desired concentration and for 
the necessarv ler__.th of time to control rodents, 
insects, or other pests. 

"Household" means anv structure and its contents 
which are used for man. 

"Household pest" means an\ undesirable vertebrate 
or invertebrate organism, other than wood- 
destroying organisms, occuning in a strticture or the 
surrounding areas thereof including but not limited 
to insects and other arthropods, commensal rodents, 
and birds which have been declared pests under 
G.S. 143-444. 

"Household pest control" means that phase of 
structural pest control other than the control of 
wood-destrov ing organisms and fumigation and 
shall include the application of remedial measures 
for the purpose of curbing, reducing, preventing, 
controlling, eradicating, and repelling household 
pests. 

"Inactive license" shall mean anv structural pest 
control license held b_v an individual who has no 
emplovees and is not engaged in an\ structural pest 
control work except as a certified applicator or 
registered technician. 

"Infestation of a specific organism" means evidence 
of past or present activitv b> that organism, v isible 
in. on. or under a structure, or in or on debris under 
the structure. 

"Inspection for a specific wood-destrov ing 
organism" means the careful v istial examination of 



13:1 



NORTH CAROLINA REGISTER 



July 1, 199S 



47 



APPROVED RULES 



all accessible areas of a building and the sounding 
of accessible structural members adjacent to slab 
areas, chimneys, and other areas particularly 
susceptible to attack b> \\ood-destro\ ing organisms 
to determine the presence of and the damage b\ that 
specific wood-destroying organism. 

(35) "Inspector" means an_\ emplo>ee of the Structural 

Pest Control Division of the Department of (46) 

Agriculture and Consumer Ser\ices of the State of 
North Carolina. 

(36) "Licensed structural pest control operation." or 

"pest control operation." or "operator." or "licensed (47) 

operator" means any person licensed under the 

provisions of G.S. 106-65. 25(a) or unlicensed who. 

for direct or indirect hire or compensation is 

engaged in the business of controlling. destro_\ing. 

curbing, mitigating, preventing, repelling, offering 

advice on control methods and procedures. 

inspecting and identifying infestations and (48) 

populations of insects, rodents, fungi, and other 

pests within, under and on structures of an> kind, or (49) 

the nearbx surrounding ground areas or where 

people ma\ assemble or congregate including work 

defined under G.S. 106-65.24(23). (50) 

(37) "Liquefied gas aerosol" means the sprax produced 
b\ the extreme rapid \olatiiization of a compressed 

and liquefied gas. to which has been added a (51) 

nonvolatile oil solution containing a pesticide. 

(38) "Noncommercial certified applicator" shall mean 
an\ certified applicator not emploved b\ a licensed 
individual. 

(39) "Open porch" means anv porch without fill in 
which the distance from the bottom of the slab to 
the top of the soil beneath the slab is greater than 12 
inches. 

(40) "Residential structure" means an\ structure used, or (52) 
suitable for use. as a dwelling such as a single- or 
multi-famiK home, house trailer, motor home. 

mobile home, a condominium or townhouse. or an 

apartment or an\ other structure, or portion thereof. 

used as a dwelling. (53) 

"Secretary" means the Secretary to the North 

Carolina Structural Pest Control Committee. 

"Ser\ ice vehicle" means anv vehicle used regular!} 

to transport the licensee or certified applicator or (54) 

registered technician or other emplovee or anv 

equipment or pesticides used in prov iding structural 

pest control services. (55) 

(43) "Slab-on-ground" means a concrete slab in which 
all or part of that concrete slab is resting on or is in 
direct contact with the ground immediatelv beneath 
the slab. 

(44) "Solid masonry cap" means a continuous concrete 
or masonr\ barrier covering the entire top. width 
and length, of anv wall, or an\ pail of a wall, that 
prov ides support for the exterior or structural parts 
of a building. 

( 45 ) "Space sprav " means anv pesticide, regardless of its 



(41) 
(42) 



particle size, which is applied to the amiosphere 
within an enclosed space in such a manner that 
dispersal of the pesticide particles is uncontrolled. 
Pesticidal fogs or aerosols, including those 
produced bv centrifugal or thermal fogging 
equipment or pressurized aerosol pesticides, shall 
be considered space spravs. 
"Spot fumigation" means the application of a 
fumigant to a localized space or harborage w ithin. 
on. under, outside of. or adjacent to. a structure for 
local household pest or rodent control. 
"Spot surface residual sprav" means the application 
of pesticidal sprav directly to a surface and only in 
specific areas where necessary and in such a 
manner that the pesticidal material will largelv 
adhere to the surface where applied and will remain 
toxic to household pests or rodents or other pests 
for which applied for an extended period of time. 
"Structure" means all parts of a building, whether 
vacant or occupied, in all stages of construction. 
"Structural pests" means all pests that occur in anv 
type of structure of man and all pests associated 
with the immediate environs of such structures. 
"Sub-slab fumigation" means the application of a 
fumigant below or underneath a concrete slab and 
is considered spot fumigation. 
"Superv ision." as used in 2 NCAC 34 .0325. shall 
mean the oversight bv the licensee of the structural 
pest control activities performed under that license. 
Such oversight mav be in person bv the licensee or 
through instructions, v erbal. v\ ritten or otherw ise. to 
persons performing such activities. Instructions 
mav- be disseminated to such persons either in 
person or through persons emploved bv the licensee 
for that purpose. 

"Telephone answering serv ice location" means any 
location used for the sole purpose of receiving 
telephone message^ including locations which 
utilize call forv\arding or other electronic answering 
or messaging technologv . 

"Termiticide(s)" (as used in these Rules) means 
those pesticides specified in 2 NCAC 34 .0502. 
Pesticides for Subterranean Termite Prevention 
and or Control. 

"Termiticide hairier" shall mean an area of soil 
treated with an approved termiticide. which. v\hen 
analvzed. is not deficient in tenniticide. 
"To use any pesticide in a manner inconsistent w ith 
its labeling" means to use anv pesticide in a manner 
not permitted bv the labeling. Provided that, the 
temi shall not include: 

(a) applving a pesticide at anv dosage, 
concentration, or frequencv less than that 
specified on the labeling unless the labeling 
specificallv prohibits deviation from the 
specified dosage. concentration. or 
frequencv : 

(b) applving a pesticide against anv target pest 



( 



( 



48 



NORTH CAROLINA REGISTER 



Jiilv I, 199S 



13:1 



msBBHgfrnmBsasimmmBsat 



APPROVED RULES 



• 



not specified on the labeling if the 
application is to the site specified on the 
labeling, unless the EPA has required that 
the labeling specifically state that the 
pesticide may be used only for the pests 
specified on the labeling; 
(c) employing any method of application not 
prohibited by the labeling unless the labeling 
specitlcalh' states that the product may be 
applied only by the methods specified by the 
labeling. 

(56) "Type of treatment" means the method used to 
apph a pesticide formulation to a specific location, 
including but not limited to: space spray, crack and 
crevice, complete surface residual, spot surface 
residual, bait placement, or fog. 

(57) "Unauthorized personnel" means any individual or 
individuals not given specific authorization by the 
licensee or certified applicator to enter areas to 
which access is restricted by these Rules. 

(58) "Under direct supervision of means the act or 
process whereby application of a pesticide is made 
by a competent person acting under the instructions 
and control of a licensee or certified applicator who 
is responsible for the action of that person and who 
is available if and when needed, even though such 
licensee or certified applicator is not physically 
present at the time and place the pesticide is 
applied. 

(59) "Waiver" means a standard form prescribed b\ the 
Committee which will, when completed correctly, 
permit the licensee to deviate from or omit one or 
more of the minimum treatment methods and 
procedures for structural pests which are set forth in 
the Committee rules, definitions, and requirements. 

(60) "Wood-destroying insect report" means an\ wrinen 
statement or certificate issued, by an operator or his 
authorized agent, regarding the presence or absence 
of wood-destroying insects or their damage in a 
structure. 

(61) "Wood-destro_\ing organism" is an organism such 
as a termite, beetle, other insect, or fungus which 
may invade, inhabit, devour, or destro> wood or 
v\ood products and other cellulose material found 
in. on. under, in contact w ith. and around structures. 

(62) "Wood-destroying organism report" means any 
written statement or certificate issued, by an 
operator or his authorized agent, regarding the 
presence or absence of wood-destroying organisms 
or their damage in a structure. 

Hlslory Note: Authorit}- <J.S. ]l>6-65.29: 

Etf. July 1. 1976: 

Reudopled Eff. November 22. 19''7: 

Amended Efl. .July 1. 1998: Ausiisi 3. 1992: .January I. 1991: 

January J. 1989. 

SECTION .0300 - LICENSING AND 



CERTIFICATION 

.0302 APPLICATION FOR LICENSES AND 
CARDS: EXAMINATION 

(a) Application for licenses under the provisions of G.S. 
106-65.26(3) and (c): 

(1) Application for examination shall be on a regular 
form prescribed by the Division. All examinations 
shall be maintained and administered by the 
Committee secretary. The Committee may review 
the examinations and make recommendations 
regarding changes in same. 

(2) Upon approval of the application for examination, 
the Committee secretary shall notify the applicant 
of said approval and provide the necessary fomi(s) 
for the applicant to pre-register for the examination 
as required in Paragraph (c) of this Rule. 

(3) Applications to take the examination shall be either 
typed or printed in ink and sworn to before a notary 
public or some other official authorized b> law to 
administer oaths. 

(4) A clear full-face, head, and shoulder photograph of 
the applicant, taken within the preceding 12 months 
of the date of application, and not less than two and 
one-half inches square, shall be attached to the 
application. 

(5) All applications to take the examination shall be 
retained b\ the office of the Committee secretary. 
All documents filed in support of an application 
shall be kept by the office of the Comir .tee 
secretary'; provided, however, that the Committee 
may at its discretion permit such documents to be 
withdrawn upon substitution of a true copy. All 
examinations shall remain the property of the 
Committee. 

(6) An applicant who fails to pass the license 
examination within 12 months of the approval of 
his application ma\ be required to provide current 
information concerning his qualifications to take 
the examination to ensure that the applicant is still 
qualified to take the examination. 

(7) An applicant who gives or receives unauthorized 
assistance during an examination shall be dismissed 
from the examination and his markings or results 
shall be voided and said applicant's examination fee 
shall be forfeited. Such applicant shall not be 
pemiitted to take a reexamination for a period of six 
months from the date of the examination. 

(8) No person shall be admitted to the examination 
room except members of the Committee, the 
attorne> for the Committee, the examining 
personnel, employees of the Structural Pest Control 
Division, and the applicants for licenses. 

(9) An_\ applicant making a score of 70 percent or more 
on anN' license examination(s) shall be issued a 
license in that phase(s) of structural pest control 
after making proper application therefor. 

(10) The applicant shall furnish such information as the 



13:1 



NORTH CAROLINA REGISTER 



July 1, 199H 



49 



APPROVED RILES 



Committee ma\ require to establish that said 
applicant possesses qualifications as specified in 
G.S. 106-65.26 of the Act for the particular 
license(s) which he seeks. The Committee, or its 
authorized representati\es. ma\ make such 
investigations as it deems necessar\ u ith respect to 
the applicant's qualifications. 

(11) All applicants passing the e.\amination(s) for 
licenses shall apply for said licenses within six 
months from the date on which the examinations 
were passed. If such applicants fail to make 
application for said licenses, within the specified 
period, such applicants shall be required to take and 
satisfactoriK pass reexaminations covering phases 
of structural pest control work for which licenses 
were applied before said licenses are issued. 

(12) If an applicant for a license fails an examination, he 
or she ma\ review the examination at the next 
regularl) scheduled review session. 

(b) Application for certified applicator's identification card 
under the provisions of G.S. 106-65. 26(a) and (b): 

(1) Applications filed pursuant to G.S. 106-65. 26(a) 
and (b) shall be on a regular fomi prescribed b> the 
Division. 

(2) An applicant for a certified applicator's 
identification card in an\ phase of structural pest 
control shall furnish such infomiation as the 
Committee ma\ require to establish that said 
applicant possesses qualifications as specified in 
G.S. 106-65.26 of the Act for the particular 
certified applicator's identification card which he 
seeks. The Committee or its authorized 
representatives ma\ make such investigations as it 
deems necessan. with respect to the applicant's 
qualifications. 

(3) All applications for certified applicator's 
identification cards under the provisions of G.S. 
106-65. 26(a) and (b) shall be retained by the office 
of the Committee secretar>. All documents filed in 
support of an application shall be kept b\ the office 
of the Committee secretan, : provided, however, that 
the Committee ma\ at its discretion permit such 
documents to be withdrawn upon substitution of a 
true copv. All examinations shall remain the 
propert\ of the Committee. 

(4 ) An\ applicant making a score of 70 percent or more 
on the core certification examination and on any 
certified applicator's examination(s) shall be issued 
a certified applicator's identification card in that 
phase of structural pest control after making proper 
application therefor. 

(5) All applicants passing the examination! s) for 
certified applicator's identification cards shall appK 
for said cards within six months from the date on 
which the examinations were passed. If such 
applicants fail to make application for said certified 
applicator's identification cards within the specified 
period, such applicants shall be required to take and 



satisfactoril_\ pass reexaminations covering phases 
of structural pest control work for which certified 
applicator's identification cards were applied before 
said cards are issued. 

(6) If an applicant fails to obtain a certified applicator's 
identification card within 12 months of passing the 
core examination the applicant must take and pass 
a reexamination before being eligible for the card. 

(7) Upon receipt of the application for examination, the 
Committee secretan. shall provide the necessan. 
forms for the applicant to pre-register for the 
examination as required in Paragraph (c) of this 
Rule. 

(8) If an applicant for a certified applicator's card fails 
an examination, he or she ma\ review the 
examination at the next regularK scheduled review 
session. 

(9) Subparagraphs (a)(2). (5). (7). and (8) of this Rule 
shall also appK to all applicants for certified 
applicator's identification cards. 

(10) Effective January 1. 1999. completion of the 
Registered Technician School shall be a 
prerequisite for the certification examination. 

(c) Pre-registration for license and certified applicator 
examination applicants: 

(1) All applicants for the license and or certified 
applicator's examination! s) shall pre-register with 
the Committee secretan. for said examination(s) no 
less than 10 da\s prior to the date of the 
examination. 

(2) Applicants who fail to pre-register shall not be 
permitted to take the examination. 

(3) Pre-registration shall include a properK completed 
application for examination. 

(d) Frequencv of examination by license applicant limited: 

( 1 ) An applicant who initialK fails to pass the license 
examination ma\ retake the examination at an\ 
subsequent regularK scheduled examination. 

(2) An applicant who fails to pass the second license 
examination shall wait a minimum of one 
examination between each subsequent examination: 
except that, in the event of a death of a licensee the 
applicant intending to succeed the deceased 
licensee ma\ take the examination a third time prior 
to the first one examination waiting period. 

(3) No applicant shall be permitted to take the 
examination more than six times per \ ear nor more 
than two times in consecutive months, except as 
provided for in Subparagraph (d)(2) of this Rule. 

History Sate: Aiillniriiy G.S. 1U6-65.29: 

El]. July 1. 19'6: 

Rcadiipiecl Eff. Xovemher 22. 19": 

.Amended Eff. July L 1998^. August 3. 1992: January 1. 1991: 

Jatmary 1. 1989. 

.0303 DATES OF EXAMINATION AND 
EXAMINATION REVIEW 



50 



NORTH CAROLI.XA REGISTER 



July I. 1998 



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Bbt» 



■ W ii WWk l JjnUflLmMl l lli llWIlM— BW 



APPROVED RULES 



(a) Examinations for all phases of structural pest control (2) 
shall be given monthK. 

(b) The Division shall publish the date and location of each 
exam at least 30 days in advance of the examination. 

(c) Examination reviews shall be scheduled each month by 
the Division. 

Histoiy Note: Authority G.S. 106-65.29: 
Eff.July 1. 19^6: 

Readopted Eff. Noveniher 22. 1977; 
Amended Eff. July 1 . 1998. 

.0306 MAILING OF RENEWAL FORMS 

On or before May 1 of each year the Division shall forward 
renewal forms to all holders of licenses and identification 
cards for their use in applying for renewal of said licenses, 
certified applicator's identification cards, and registered 
technician's identification cards. 

Histoiy Note: Authority G.S. 106-65.29: 

Eff. July 1. 19^6: 

Readopted Eff. November 22. /9"7,- 

.Amended Eff. Mv L 199H: January 1. 1991: August 20. 

1980: August 1. 1980. 

.0308 DISPLAY OF CERTIFIED APPLICATOR'S 
IDENTIFICATION CARD 

A certified applicator's identification card shall be provided 
annualK to each certified applicator at the time of the renewal 
of his certified applicator's identitlcation card. If a certified 
applicator is emplo\ed by a licensee, his certified applicator's 
identification card shall bear his employer's license number 
and phase(s) and expire when his employer's license expires. 
Each such certified applicator's identification card shall bear 
only one license number, one company name, and not more 
than three license phases. The certified applicator's 
identification card shall be carried on the person of the 
certified applicator at all times when performing an\ phase of (3) 

structural pest control work. A certified applicator's 
identification card shall be displa\ed upon demand to an 
inspector, the Committee or its authorized representative, or 
the person for w horn an\ phase of structural pest control work 
is being performed. 

HistoiT Note: Authority G.S. 106-65.29: 
Eff July 1. 1976: 

Readopted Eff. November 22. 197': 
Amended Eff. July L 1998: August 1. 1980. 

.0309 RECERTIFICATION 

(a) Certified applicators and licensees shall be certified for 
a f1\e-\ear period. At the end of said flve->ear period, a 
certified applicator or licensee, at his discretion, may be 
recertified for another five-year period b\ choosing one of the 
follow ing options: 

{ 1 ) reexamination taken between Januan. 1 . prior to the 
expiration of the five-year recertification period, 
and June 30; 



for recertification prior to July 1, 2002: earning 
Continuing Certification Units of formal training 
approved by the Committee and received by the 
certified applicator during the five years 
immediately preceding the expiration date of his 
certification. The number of CCUs required shall 
be as follows: 

(A) recertification in an\ one phase: five CCUs 
total, two of which must be solely applicable 
to the phase in which recertification is 
desired; 

(B) recertification in any two phases: seven 
CCUs total, two of which must be solely 
applicable to the first phase and two solely 
applicable to the second phase in which 
recertification is desired; 

(C) recertification in all three phases: nine 
CCUs total, two of which must be solely 
applicable to the first phase, two solely 
applicable to the second phase, and two 
soleK applicable to the third phase in which 
recertification is desired: 

(D) licensees and noncommercial certified 
applicators must earn at least one of the 
required continuing certification units 
established in Subparagraph (aK2) of this 
Rule in each of three \ears of the five-year 
recertification period; 

(E) commercial certified applicators must earn at 
least one of the required continuing 
certification units established in 
Subparagraph (a)(2) of this Rule in at least 
two years of the five-year receilification 
period; 

(F) continuing certification units shall not be 
carried forward be\ond the f1ve-\ear 
recertification period. 

for recertification after July I. 2002: earning 
Continuing Certification Units during the five years 
immediateK preceding the expiration date of his 
certification. The number of CCUs required shall 
be as follows: 

(A) recertification in any one phase: 10 CCUs 
total, five of which must be soleh applicable 
to the phase in which recertification is 
desired; 

(B) recertification in an\' two phases: 15 CCUs 
total, five of which must be solely applicable 
to the first phase and five soIeK applicable 
to the second phase in which recertification 
is desired; 

(C) recertification in all three phases: 20 CCUs 
total, five of which must be soIeK applicable 
to the first phase, five solely applicable to 
the second phase, and five soIeK applicable 
to the third phase in which recertification is 
desired; 

(D) licensees and noncommercial certified 



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July /, 199H 



51 



APPROVED RULES 



applicators must earn at least one of the 
required continuing certification units 
established in Subparagraph (a)(3) of this 
Rule in at least four \ears of the fi\e- >ear 
recertification period; 

(E) commercial certified applicators must earn at 
least one of the required continuing 
certification units established in 
Subparagraph (a)(3) of this Rule in at least 
three \ears of the tl\e-\ear recertification 
period; 

(F) continuing certification units shall not be 
carried forward beyond the fi\e-\ear 
recertification period. 

(b) Licensees holding an inactive license shall be subject to 
the requirements of this Rule. 

History Note: Aiiihoritv CJ.S^ 106-65.29: 

EJf.July I. 19' 6: 

Readopted Ejf. November 22. 19^7: 

Ametided Eff July I. 1 99S: Jamian- 1. 1989: .August I 19sn. 

.0313 REGISTERED TECHNICIAN'S 
IDENTIFICATION CARDS/ 
TRAINING M.4TER1ALS 

(a) A registered technician's identification card shall 
contain, but not be limited to. the follow ing information: 

(1) name of registrant; 

(2) name of licensee or emplo\er; 

(3) name of licensee's compan\ ; 

(4) address of licensee's compan\ ; 

(5) license number and phase(s) of licensee; 

(6) age. weight, height, color of hair and e\es of 
registrant; 

(7) Job classification of card holder; 

(8) issuance date, expiration date, and license \ear 
co\ered b> card. 

(b) The registered technician's identification card and the 
license of the emploxer of the card holder shall bear the same 
license number and license phase(s). Each registered 
technician's identification card shall bear only one license 
number, one compan\ name, and not more than three license 
phases. 

(c) A licensee or noncommercial certified applicator 
appKing for the issuance or renewal of a registered 
technician's identification card for his emplo\ee shall certif) 
to the Di\ision that the emplo\ee has completed emplo\ee 
training appro\ed b\ the Committee in structural pest control 
work. 

(d) All indi\ iduals who make application for the issuance, 
not renewal, of registered technician's identification cards 
after January 1 . 1 999. shall complete the follow ing training, or 
its equi\ alent. before becoming eligible for the identification 
card: 

( 1 ) lntroductor\ Training: 

(A) lntroductor\ training shall include 
completion of the workbook. Iinrodueiory 
TruiiiDTi for Re<iistered Teehuieiuiis: and 



(B) A minimum of 24 hours of on-the-job 
training in applicable phases of structural 
pest control b> the licensee, certified 
applicator, or registered technician ha\ ing at 
least two years of experience. 

(2) On-the-job training involving the methods and 
materials the emplo\ee will use in the da\-to-day 
performance of his duties. 

(3) The North Carolina Structural Pest Control 
Registered Technician School. A fee of twenty- 
five dollars (S25.00) shall be charged for each 
emploxee attending the Registered Technician 
School. 

(e) Training materials and records shall be made a\ailable 
for inspection during regular business hours upon request b\ 
the Division and shall be retained two Nears be\ond the last 
date of the individual's emplo\ment. 

(f) Introducton training shall be completed before the 
empio>ee is permitted to mix or appK pesticides w ithout the 
on-site supervision of a registered technician, certified 
applicator, or licensee. 

HistonNote: .Authority- G.S. 106-65.29: 

Eff. July 1. 19''6: 

Readopted Eff. November 22. 19": 

.Amended Eff. July 1. 1998: .Ausust 3. 1992: January I. 1991: 

December 1. 198'. 

.0325 DUT^ OF LICENSE HOLDER TO CONTROL 
ACTIVITIES 

(a) The licensee shall be acti\eK and personalN engaged in 
the supervision of the structural pest control acti\ities of an\ 
office to which his her license is assigned. 

(b) If an_\ office or indi\idual emplo\ee of a license holder 
is not within 75 miles of the licensee's residence. b> the 
nearest public road, the licensee shall submit to the 
Committee, in writing, infonnation to show that he she is. in 
fact, controlling, directing, and supervising the structural pest 
control activities of said office or emplo>ee. 

(c) In the e\ent information submitted to the Committee b\ 
a license holder is insufficient for the Committee to determine 
that said holder is. in fact, controlling, directing, and 
superxising the structural pest control activities of his office 
or emplo\ees. the Committee shall require said holder to 
appear before it and set forth, in detail, infonnation to show 
that he she is. in fact, in charge of the structural pest control 
activities of his office or emplo\ees. 

(d) The infonnation required in Paragraph (b) of this Rule 
shall be submitted within 10 da\s of emplo\ment of an\ 
individual to which Paragraph (b) of this Rule applies and at 
the time the license or identification card is issued, reissued, 
or renewed. 

(e) It shall be a violation of the rules of the Committee for 
an\ license holder to fail to adequateK control, direct, and 
superv ise the structural pest control acti\ ities of his her office 
or emplovees. 



History Note: 



Authority G.S. 106-65.29: 



52 



\ORTH CAROLIXA REGISTER 



July 1, 199H 



13:1 



APPROVED RULES 



Eff. July I. 1976; 

Readopted Eff. November 22. 1977: 

Amended Eff. July], 1998: Jaiman- 1. 1989: .August 1. 1980. 

.0328 RECORDS: PESTICIDES AND 

APPLICATION EQUIPMENT USED 

(a) All required structural pest control records and 
pesticides and application equipment used by the licensee or 
noncommercial certified applicator shall be maintained at the 
office location to which the license or certified applicator's 
card is issued. 

(b) Notwithstanding the requirements of Paragraph (a) of 
this Rule, a licensee ma\ request permission, annually, from 
the Division, to maintain records, pesticides, and application 
equipment in a location other than the office location specified 
in Paragraph (a) of this Rule. In determining wht" er or not 
to grant such permission, the Division shall ensuie that its 
abilit) to regulate the licensee will not be adversely affected 
by granting the request. 

(c) All such records, pesticides, and equipment shall be 
made available for inspection during regular business hours 
upon request b>' the Division. 

History Note: Authorities. 106-65.29: 

Eff. .August 1 . 1980: 

Amended Eff. July 1. 1998: January I. 1989. 

SECTION .0400 - PUBLIC SAFETY 

.0401 PUBLIC SAFETY: STORAGE AND 
HANDLING OF CONTAINERS 

(a) All pesticides shall be kept securelv, in leakproof 
containers and labeled as specified in 2 NCAC 34 .0402. 

(b) In no case shall containers of pesticide(s) be left where 
pets, domestic animals, children, or other unauthorized 
persons might remove or consume the contents. 

(c) Food containers shall not be used as pesticide 
containers. 

(d) When pesticides are stored or transported in or on a 
vehicle, a suitable storage space shall be provided thereon. 
Such pace shall be constructed so as to maintain all pesticide 
containers in a manner which w ill prevent spills and shall be 
locked v\hen the vehicle is unattended. 

History Note: Auiliority U.S. 106-65.29: 

Eff. July 1. 19 "6: 

Readopted Eff. November 22. 19" 7: 

Amended Eff. July 1. 1998: JaniiaiT 1. 1989: August 1. 1980. 

.0403 FIRST AID 

First aid equipment and first aid procedures, approved bv 
the EPA or Federal Occupational Safety and Health 
Administration, shall be placed in all service vehicles and in 
all other areas where pesticides are stored or handled. 

Histoiy Note: Authority (J. S. 106-65.29: 

Eff. July 1. 19-6: 

Readopted Eff. November 22. !9~7: 



Amended Eff July 1. 1998: August 1. 1980. 

SECTION .0500 - WOOD-DESTROYING 
ORGANISMS 

.0501 WOOD-DESTROYING INSECTS: 
EXCLUDING SUBTERRANEAN 
TERMITES 

(a) Determining Active Infestations of Wood-Destroying 
Beetles. The licensee, certified applicator, and his 
representative(s) making the inspection for wood-destroying 
beetles shall each be responsible for detennining the presence 
or absence of an active infestation(s). All proposals for the 
treatment of wood-destroying insects under Paragraphs (a) 
and (b) of this Rule shall be in writing and contain the name(s) 
of the wood-destroying insects(s) to be controlled, that part of 
the structure to be covered under the agreement (entire 
structure, understructure only, entire interior of the garage, 
etc.). and the basis on which the licensee, certified applicator, 
or his representative(s) determined the infestation to be active 
or inactive as set forth herein below : 

(1) Powder Post Beetle(s) (Anobiidae, Bostrichidae 
and Lyctidae) 

(A) The presence of frass. the color of fresh cut 
wood, will be acceptable as evidence of an 
active infestation of powder post beetles. 

(B) The presence of holes alone or holes and dull 
colored frass will not be acceptable evidence 
of an active infestation of powder post 
beetles except in such cases where live 
larvae or pupae are found in wood members. 
Where holes alone are found in wood 
members, this should encourage the licensee, 
certified applicator, or his representative(s) 
to check the property during the optimum 
time for adult emergence— IVla> 1 to August 
31. It should be pointed out that Anobiid 
beetles usualK confine themselves to 
softv\oods such as pine while Lyctid beetles 
confine themselves to hardwoods such as 
oak or pecan. 

(C) If a licensee perforins a guaranteed or 
warranted treatment for powder post beetles, 
the period of initial liability with regards to 
active infestation shall be 18 months from 
the original treatment date. 

(D) If an active infestation of powder post 
beetles is found bv' the Division in any 
structure treated for said beetles, during or 
after the first complete adult beetle 
emergence period v\ithin 18 months of the 
treatment date, the licensee or certified 
applicator responsible for said treatment 
shall retreat the infested areas of the 
structure within 30 davs of v\ritten notice 
from the Division. Retreatment shall be 
perfomied, upon request of the Division, in 
the presence of a structural pest control 



13:1 



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July /, 1 998 



53 



APPROVED RVLES 



inspector. 
(2) Old House Borer {H>lotrupes bajulus). The 
presence of old house borer or o\al exit holes with 
sawdust-like trass consisting of fine powder with 
tinN pellets in o\al galleries in pine or other 
softwoods will be evidence of an active infestation 
of the old house borer. It should be pointed out that 
feeding larvae of the old house borer can be 
detected b\' sound; however, other long-horned 
borer and flatheaded borer larvae make similar 
sounds. Therefore, frass and insect characteristics 
should be used to confirm identity. 

(b) ldentif\ing Other Wood-Destroying Insects. There are 
other species of wood-destroying insects which occur in 
structures. Before recommending treatment or selling a 
service for the pre\ention or control of \\ood-destro\ing 
insects, other than powder post beetles or old house borer, the 
licensee, certified applicator, and or their representati\e(s) 
shall identify the uood-destro\ing insect(s) in question and 
inform the property owner or his authorized representative of 
the identitv and habits of the wood-destro> ing insect(s) in 
question. 

(c) Any reapplication of pesticides under this Rule shall be 
in accordance with the label of the pesticide used. 

(d) Pesticide applications for the pre\enlion of wood- 
boring beetles ma\ onl\ be performed after informing the 
property owner or their authorized agent in writing of the 
biologs and conditions supporting the infestation and survival 
of said insects. Such notice shall include an evaluation of the 
condition of the structure(s) to be treated and a statement as to 
whether or not such condition v\ ill support an infestation by 
wood-boring beetles. 

Hi.ston- Note: Aiithorirv G.S. 106-65.29: 

Eff. July 1.19-6: 

Readopled Eff. November 22. W': 

Amended Eff. July 1. 1998: Jauiian- 1. 19S9: Aiigii.st 1. IWf). 

.0502 PESTICIDES FOR SUBTERRANEAN 
TERMITE CONTROL 

(a) Through June 30. 1999. an_\ pesticide ma\ be used for 
the prevention and/or control of subterranean termites 
provided that it bears an EPA-approved label for such use and 
the pesticide is applied according to the directions of its label. 

(b) Effecti\e Jul} 1. 1999. onl\ those products which bear 
an EPA-appro\ed label for such use and for which the 
Committee has received the following infonnation ma\ be 
used for subterranean termite control: 

( 1 ) A statement from the pesticide registrant that the 
termiticide is primaril) intended, either for use: 

(A) as a supplement to or in combination with 
other treatment(s); or 

(B) b> itself, as the sole source of termite 
control: and 

(2) For temiiticides under Part (b)(1)(B) of this Rule, 
efficacv data in a form prescribed b\ the 
Committee. 

(c) Temiiticides intended for use as a supplement to or in 



combination with other temiiticides ma\ not be used alone 
w ithout first disclosing the registrants" recommendations to 
the propert) ow ner or agent. 

(d) A list of temiiticides for which information and/or data 
has been received ma\' be obtained bv writing the North 
Carolina Department of Agriculture and Consumer Services. 
Structural Pest Control Division. P.O. Box 27647. Raleigh. 
NC 27611 or by calling (919) 733-6100. 

Hisloiy Note: Authority G.S. 106-65.29: 

Efj:julyl.l9'6: 

Readopled Eff. November 22. 19": 

Amended Eff. July 1. 1998: August 1. 1980. 



.0503 

(a) B 
(1) 



(2) 



(3) 



(4) 



(5) 



SUBTERRANEAN TERMITE CONTROL: 
BUILDINGS AFTER CONSTRUCTED 

asement or Craw 1 Space Construction: 
Access openings shall be provided to permit 
inspection of all basement and crawl space areas of 
a building and all open porches. 
Clean up and remove all wood debris and cellulose 
material, such as wood, paper, cloth, etc.. 
contacting soil in all crawl space areas. This 
excludes shavings or other cellulose material too 
small to be raked with the tines of an ordinarv 
garden rake. Remove all visible stumps from all 
cravsl space areas. Remove all visible fomi boards 
in contact vsith soil. 

Remove all earth which is within 12 inches of the 
bottom edges of floor joists or within eight inches 
of the bottom edges of subsills or supporting 
girders, but not below footings of foundation walls. 
If foundation footings are less than 12 inches below 
the botloni edges of Joists or subsills or supporting 
girders, a bank of soil 12 inches to 18 inches wide 
sfiall be left adjacent to footings for the purpose of 
support. Clearance shall be adequate to provide 
passage of a person to all crawl space areas of a 
building. 

All visible tennite tubes or tunnels on pillars, 
pilasters, foundation walls, chininevs. step 
buttresses, sills, pipes, and other structures below 
the sill line shall be removed. 
Eliminate all wooden parts making contact w ith the 
building and soil, both outside and inside, except 
those which appear to be pressure treated: 

(A) No wood of an\ access opening shall be in 
contact with the soil. 

(B) Where wood parts such as door frames, 
partition walls, posts, stair carriages, or other 
wood parts can be reasonablv ascertained to 
be making direct soil contact through 
concrete or where there is evidence of 
termite activity or damage thev shall be cut 
off above the ground or floor level and the 
wood removed from the concrete: and the 
hole shall be filled with concrete or covered 
with a metal plate, after the point of contact 



54 NORTH CAROLiy.A REGISTER 

!Llitti>LUiiUflWlilUiMIIUI)«llU(liliUUiim]llUI WIISBl 



July /, 1998 



13:1 



APPROVED RULES 



(6) 



has been treated with a termiticide. 

(C) Where wood parts such as vertical wood 
supports or other wood parts under a 
building or steps outside a building are not (7) 
resting on solid masonrv or concrete bases 
extending at least two inches above the soil 

surface or are in direct soil contact and such 
supports or steps are not removed, the 
supports and steps shall be cut off and set on 
a solid masonPv or concrete footing 
extending at least two inches abo\e the 
ground after the point of contact has been 
treated w ith a termiticide. 

(D) When wood skirting and lattice work are 
suspended, there shall be at least a tw o-inch 
clearance between the top of the soil and the 
bottom edges of the wood skirting or lattice 
work. If the two-inch clearance is not 
acceptable to the property owner, it ma> be 

closed with solid masonry or concrete but a (8) 

minimum clearance of one-fourth of one 
inch shall be pro\ided between the masonr>' 
and wood. 

(E) Where wood fence posts are making contact 
with the soil and an> part of a building and 
such posts are not remo\ed. a minimum 
clearance of one- fourth of one inch shall be 
provided between the posts and the building 
part; a continuous, noncorrosive sheet metal 
barrier, extending two inches be\ond each 
side of the post(s). may be substituted for the 
clearance. If the fence has wood railings. 
alteration(s) of the fence post against the 
building will not suffice. 

(F) Where houses or decks are built on pressure 
treated wood pilings, pillars, or all-weather 
wood foundations, such pilings, pillars, and 
v\ood foundation members, including wood 

step supports, shall not be subject to Parts (9) 

(a)(5)(A). (B). or (C) of this Rule. 
WTiere exidence of either past or present 
subterranean termite infestation exists, drill and 
treat all voids in multiple masonr> foundation and 
bearing walls and all \oids created b\ their 
placement at and a minimum distance of four feel in 
all directions from such evidence. Porch 
foundation walls shall be drilled to a distance of 
three feet from the main foundation wall and the 
point of contact with any wooden members. 

(A) The distance between drill holes shall not 
exceed 16 lineal inches and holes shall be no 
more than 16 inches abo\e the footing or 
immediateK above the lov\est soil level 
whiche\er is closest to the footing. 

(B) Test drill the main foundation wall behind 
an) porch or slab area to detemiine if the 
porch or slab is supported b\ a wall whose 
placement creates a void between itself and 



the main foundation wall. If test reveals that 
a void exists, drill and treat all voids therein 
as specified in this Rule. 
Where evidence of either past or present 
subterranean termite infestation exists, drill and 
treat all voids in all multiple masonn, pillars, 
pilasters. chimne>s. and step buttresses associated 
or in contact with such evidence, and an\ void 
created b) their placement: 

(A) The distance between drill holes shall not 
exceed 16 lineal inches and shall be no more 
than 16 inches above the footing or 
immediateK above the lowest soil level, 
whichever is closest to the footing. 

(B) Drilling shall not be required if solid 
concrete masonr} footings of pillars, 
pilasters, chimneys, or step buttresses extend 
eight inches or more above top of soil 
surface. 

Wfiere concrete slabs over dirt-filled areas are at the 
level of above the level of or in contact with, wood 
foundation members treat dirt-filled areas with a 
termiticide as follows: 

(A) Drill verticalh three-eighths of one inch or 
larger holes in the slab, no more than six 
inches from the building foundation, at no 
more than 12-inch intervals and treat soil 
below slab from the bottom of the slab to the 
top of the footing; or 

(B) Drill horizontall\ three-eighths of one inch 
or larger holes in the foundation wall of the 
concrete slab, no more than six inches from 
the building foundation, ever}' 16 vertical 
inches starting immediately below the 
bottom of the slab and rod treat all soil 
adjacent to building foundation from the 
bottom of the slab to the lov\est outside 
grade. 

Trench or trench and rod treat soil to establish a 
continuous termiticide barrier in the soil adjacent 
to, but not more than six inches from, all pillars, 
pilasters, chimnev s. pressure treated wood supports, 
and step buttresses; inside of foundation walls; 
outside of foundation walls; the outside of 
foundation walls of concrete slabs over dirt-filled 
areas and the entire perimeter of a slab foundation 
wall from the top of the grade to the top of the 
footing or to a minimum depth of 30 inches, 
whichever is less. Where footings are exposed, 
treamient shall be performed adjacent to the footing 
but not below the bottom of the footing. The trench 
shall be no less than six inches in depth or to the 
bottom of the footing, whichever is less. Where 
outside concrete slabs adjacent to the foundation 
pre\ent trenching of soil, drill three-eighths of one 
inch or larger holes, not more than 12 inches apart 
and within six inches of the foundation wall. 
ihrouL'h slabs or through adjoining foundation wall. 



13:1 



NORTH CAROLINA REGISTER 



July I, 199H 



55 



APPROVED RULES 



and rod treat soil below slabs as indicated above to 
establish a continuous temiiticide barrier at all 
known points of entn.. The soil immediately 
around pipes and other utility conduits making 
contact v\ ith the structure shall be treated. 

(10) Where stucco on wood or similar t>pe materials, 
including extruded or expanded rigid foam 
insulation or similar materials, extend to or below 
grade, trench soil to a depth below and under the 
edge of the stucco or similar t\pe materials and treat 
soil to establish a continuous termiticide barrier in 
the soil. After the soil has been treated, a masonry' 
barrier wall ma\ be erected to hold back the soil 
from making direct contact with the stucco or 
similar t\pe materials. Where outside slabs on 
grade adjacent to foundation prevent trenching of 
soil, drill three-eighths of one inch or larger holes 
through slabs within six inches of the foundation 
wall, or through adjoining foundation wall, not 
more than 12 inches apart and rod treat soil below 
slabs. Where drain tile, french drains, or other 
foundation drainage s\stems present a hazard of 
contamination outside the treatment zone, treamient 
shall be performed in a manner that will not 
introduce temiiticide into the drainage s\stem. 

(11) Paragraph (b) of this Rule shall be followed if 
applicable to basement or cravs I space construction. 

(b) Slab-on-Ground Construction: 

( 1 ) Treat soil to establish a continuous temiiticide 
barrier in. under, and around, all traps and openings 
in the slab. 

(2) Drill vertically three-eighths inch or larger holes, at 
all visible or known expansion and construction 
joints, cracks, and crevices in slab and around all 
utility conduits in the slab at no more than 12-inch 
inter\'als and rod treat soil below slab to establish a 
continuous termiticide barrier from the bottom of 
the slab to a depth of 30 inches or to the top of the 
footing, whichever is less, at all known points of 
entry. Where wooden structural members are in 
contact with concrete or masonrs floors which ha\e 
joints or cracks beneath the wooden structural 
members, including wall plates in utility or storage 
rooms adjoining the main building, the concrete or 
masonr\ shall be drilled and treated in order to 
achieve treatment of the soil beneath them. As an 
exception, expansion and construction joints at the 
perimeter of the exterior wall ma\ be rod treated b\ 
drilling through the foundation wall at no more than 
12-inch intervals directh below the bottom of the 
slab. 

(3) Paragraph (a) of this Rule shall also be followed. 

(c) Reapplication of Pesticide(s) to a Structure Pre\ iousl_\ 
Treated for Subterranean Termite Control; 

(1) A reapplication of termiticide shall be required if 
soil test b\ the Di\ision re\eals that the soil is 
deficient in the temiiticide which was applied to the 
soil. 



(2) Any reapplication of pesticides under this Rule 
shall be in accordance with the label of the 
pesticide used. 

(d) A licensee mav enter into a written agreement for the 
control or prevention of subterranean temiites in a building 
after it has been constructed without having to abide by 
Paragraphs (a) and (b) of this Rule provided that: 

( 1 ) The licensee has written proof, satisfactory to the 
Committee, that he or his authorized agent treated 
the entire building for subterranean temiites at the 
time of its construction as required in 2 NCAC 34 
.0503 or 2 NCAC 34 .0506 (or comparable rules by 
the Committee at the time of treatment); and 

(2) A written agreement is issued in compliance with 2 
NCAC 34 .0605. 

(e) Paragraphs (a) and (b) of this Rule shall not appl\ to 
subterranean termite treatment performed using temiite bait(s) 
labeled for protection of the entire structure when the licensee 
pro\ ides a warrant) for the control of subterranean termites on 
the entire structure. 

History \ole: Filed as a Temporuiy Repeal Efj^ August 24. 

1 98^ for a period of 30 day-s to expire on September 22. 1987: 

Authority G.S. 106-65.29: 

Eff.Julyl. 19' 6: 

Readopted Eff. Noxemher 22. 19" 7: 

Amended Eff. August 1. 1980: 

Temporary Expired Eff September 22. 198^: 

Amended Eff. Januaiy 1 . 1989: 

Temporaiy Amendtnent Eff. Januaiy 10. 1997: 

Temporaiy Expired Eff. October 31. 1997: 

Amended Eff. July f 1998. 

.0504 REPORTING DAMAGE: INFESTATION: 
UNINSPECTED AREAS 

(a) When inspecting for wood-destro\ing insects or 
wood-decay organisms or both, all wood members of a 
structure which can be ascertained b) visual inspection to be 
damaged shall be promptK brought to the attention of the 
property owner or his authorized agent and shall also be 
indicated in writing, in the contract or agreement. b\ the 
licensee or his authorized agent. 

(b) The licensee or his authorized agent shall indicate in 
writing, in the contract or agreement, whether or not he is 
responsible for the replacement, repair, or reenforcement of 
any or ail of the wood members which were ascertained by 
\'isual inspection to be damaged. 

(c) An\ visible e\idence of infestation of wood-destro\ing 
organisms in. on. under, or in contact v\ith. a structure shall be 
prompti} brought to the attention of the propert\ owner or his 
authorized agent and shall be specified, in writing, in the 
contract or agreement. b> the licensee or his authorized agent. 

(d) The licensee or his authorized agent shall indicate and 
describe, in writing, on the contract or agreement. an> area(s) 
of the building or crawl space of the building which ha\e not 
been inspected and gi\e the reasons for not making such 
inspection(s). 



56 



IWORTH CAROLIX4 REGISTER 



July I. 1998 



13:1 



aaawMBwa— M MBW ii iw i 



APPROVED RULES 



History Note: Aiithorit}' G.S. 106-65.29: 
Eff. July 1. 1976: 

Readopted Eff. November 22, 19^7: 
Amended Eff. Jiilv L I99H: August 1, 1980. 

.0505 SUBTERRANEAN TERMITE PREVENTION/ 
RES BLDGS UNDER CONST 

(a) All treatments perfomied pursuant to this Rule shall be 
performed at the label recommended rate and concentration 
only. 

(b) Basement or Crawl Space Construction 

( 1 ) Establish a vertical barrier in the soil b\ trenching 
or trenching and rodding along inside of the main 
foundation wall: the entire perimeter of all multiple 
masonr>' chimne> bases, pillars, pilasters, and piers; 
and both sides of partition or inner walls with a 
termiticide from the top of the grade to the top of 
the footing or to a minimum depth of 30 inches, 
whichever is less. Where footings are exposed, 
treatment shall be perfonned adjacent to the footing 
but not below the bottom of the footing. Trench 
shall be no less than six inches in depth or to the 
top of the footing, whichever is less. Where drain 
tile, french drains, or other foundation drainage 
systems present a hazard of contamination outside 
the treatment zone, treatment shall be performed in 
a manner that will not introduce termiticide into the 
drainage system. 

(2) After a building or structure has been completed 
and the excavation filled and lex .led, so that the 
final grade has been reached along the outside of 
the main foundation wall, including any 
landscaping to be completed by the builder, 
establish a vertical barrier in the soil by trenching or 
trenching and rodding adjacent to the outside of the 
main foundation wall v\ith a termiticide from the 
top of the grade to the bottom of the footing or to 
a minimum depth of 30 inches, whichever is less. 
Where footings are exposed, treatment shall be 
performed adjacent to the footing and not below the 
bottom of the footing. Trench shall be no less than 
six inches in depth or to the bottom of the footing, 
whichever is less. Where drain tile, french drains, 
or other foundation drainage s>stems present a 
hazard of contamination outside the treatment zone, 
treatment shall be perfonned in a manner that will 
not introduce termiticide into the drainage system. 

(3) Establish a horizontal termiticide barrier in the soil 
w ithin three feet of the main foundation, under 
slabs, such as patios, walkways, driveways, 
terraces, gutters, etc., attached to the building. 
Treatment shall be perfonned before slab is poured, 
but after fill material or fill dirt has been spread. 

(4) Establish a horizontal tenniticide barrier in the soil 
under the entire surface of fioor slabs, such as 
basements, porches, entrance platforms, garages, 
carports, breezeways, sun rooms, etc. The 
treatment shall be performed before slab is poured 



but after fill material or fill dirt has been spread. 

(5) Establish a vertical tenniticide barrier in the soil 
around all critical areas, such as expansion and 
construction joints and plumbing and utility 
conduits, at their point of penetration of the slab or 
floor or, for crawl space construction, at the point 
of contact with the soil. 

(6) If concrete slabs are poured prior to treatment, 
treatment of slabs shall be perfonned as required by 
2 NCAC 34 .0503(a) or (b): E.xcept that; the buyer 
of the property and/or his authorized agent may 
release the licensee from further treatment of slab 
areas under this Rule provided such release is 
obtained in writing on the form prescribed by the 
Division. TTiis form may be obtained by writing the 
North Carolina Department of Agriculture and 
Consumer Services, Structural Pest Control 
Division. PO Box 27647, Raleigh, NC 2761 1 or by 
calling (919) 733-6100. 

(c) Slab-on-Ground Construction. All parts of Paragraph 
(a) of this Rule shall be followed, if applicable, in treating 
slab-on-ground construction. 

(d) All ti'eating requirements specified in this Rule shall be 
completed within 60 days following the completion of the 
structure, as described in Subparagraph (b)(2) of this Rule. 

(e) Paragraphs (b) and (c) of this Rule shall not apph to 
subterranean tennite treattnent performed using termite bait(s) 
labeled for protection of the entire structure when the licensee 
provides a wananty for the control of subtenanean tennites on 
the entire structure. 

History Note: Filed as a Temporaiy Repeal Eff. .August 24. 

1 987" for a period of 30 days to expire on September 22. 1987: 

Authority G.S. 106-65.29: 

Eff July I. 19^6: 

Readopted Eff November 22. 1977: 

Amended Eff August 1. 1980: 

Temporary Expired Eff. September 22, 1987: 

Amended Eff July 1, 1998: .JanuaiT 1, 1991: January I, 1989. 

.0506 MIN REQUIRE/SUBTERRANEAN TERMITE 
PREV/COMMERCIAL BLDGS 
UNDER CONST 

(a) All treatments perfonned pursuant to this Rule shall be 
performed at the label recommended rate and concentration 
only. 

(b) Minimum Treatment Requirements: 

( I ) Establish a vertical barrier in the soil by trenching 
or trenching and rodding along inside of the main 
foundation wall; the entire perimeter of all multiple 
masonry chimney bases, pillars, pilasters, and piers; 
and both sid- - of partition or inner walls with a 
termiticide from the top of the grade to the bottom 
of the footing or a minimum depth of 30 inches, 
whichever is less. Where footings are exposed, 
treatment shall be perfonned adjacent to the footing 
but not below the bottom of the footing. Trench 
shall be no less than six inches in depth or to the 



13:1 



NORTH CAROLINA REGISTER 



July /, I99H 



57 



APPROVED RULES 



bottom of the footing, whichever is less. Where 
drain tile, french drains, or other foundation 
drainage systems present a hazard of contamination 
outside the treatment zone, treatment shall be 
performed in a manner that will not introduce 
termiticide into the drainage system. 

(2) After a building or structure has been completed 
and the excavation filled and leveled, so that the 
final grade has been reached along the outside of 
the main foundation v\all. including any 
landscaping to be completed b\ the builder, 
establish a vertical barrier in the soil adjacent to the 
outside of the main foundation wall b> trenching or 
trenching and rodding with a tenniticide from the 
top of the grade to the top of the footing or to a 
minimum depth of 30 inches, \\hiche\er is less. 
Where footings are exposed, treatment shall be 
performed adjacent to the footing and not below the 
bottom of the footing. Trench shall be no less than 
six inches in depth or to the bottom of the footing. 
\\hiche\er is less. Where drain tile, french drains, 
or other foundation drainage svstems present a 
hazard of contamination outside the treatment zone, 
treatment shall be performed in a manner that will 
not introduce termiticide into the drainage s\ stem. 

(3) Establish a horizontal termiticide barrier in the soil 
within three feet of the main foundation, under 
slabs, such as patios, walkwavs. dri\e\\a\s. 
terraces, gutters, etc. Treatment shall be performed 
before slab is poured but after fill material or fill 
dirt has been spread. 

(4) Establish a \ertical tenniticide barrier in the soil 
around all critical areas, such as expansion and 
construction joints and plumbing and utilitv 
conduits, at their point of penetration of the slab of 
floor, or for craw 1 space construction, at the point 
of contact with the soil. 

{>) If concrete slabs are poured prior to treatment. 

treatment of slabs shall be perfomied as required b\ 

2NCAC34 .0503(a)or(b). 

(c) Paragraph (b) of this Rule shall not appK to 

subterranean tennite treatment performed using termite bait(s) 

labeled for protection of the entire structure when the licensee 

provides a warrant) for the control of subterranean temiites on 

the entire structure. 

Hisloiy NolL'. Ai/lhorin- G.S. 106-65-29: 
Eff. Jamiaiy 1 . 1991: 
AniL'nded Efl July 1. 1998. 

.0507 APPLICATION EQLIIPMENT 

Effective .lul> 1. I9Q8. all application equipment used to 
apply pesticides for \\ood-destro\ ing organisms, other than 
compressed air spra\ers of less than five-gallon capacitN shall: 

( 1 ) ha\e all hoses securely attached to the tank. pump, 
and other equipment components: 

(2) be constructed so that the output pressure can be 
adjusted to meet the requirements of the pesticide 



being applied: and 
(3) except for in-line injection s\ stems, be equipped 
v\ ith a functional bvpass flow agitation device. 

Hislory Note: Aiiihorit}- G.S. 106-65.29: 
Eft: July I. 1998. 

SECTION .0600 - WOOD-DESTROYING 
ORGANISMS AGREEMENTS 

.0602 WOOD-DESTROYING INSECT AND OTHER 
ORGANISM REPORTS 

(a) An\ written statement as to the presence or absence of 
wood-destroying insects or organisms or their damage in 
buildings or structures for sale shall be on the WDIR 100. An 
incomplete or inaccurate Wood-Destro\ ing Insect Information 
Report shall not be acceptable and the issuance of such a 
report is grounds for disciplinarv' action b\ the Committee. No 
Wood-Destro\ing Insect Information Report or 
Wood-Destroying Organism Report shall be issued before an 
inspection of the building or structure is made. Each 
Wood-Destroving Insect Infonnation Report issued b\ a 
licensee shall be kept in the files of said licensee and made 
available for inspection upon request of the Division. 

(b) If during the inspection of a structure, a licensee or his 
authorized agent finds live subteiranean termites or visible 
evidence of past or present infestation of subterranean termites 
(such as tubes, damage, cast wings, infested wood scraps, or 
other cellulose materials, etc.) in the structure and there is no 
visible evidence that said structure has been treated for 
subterranean termites, the licensee shall treat said structure for 
subterranean termites prior to the issuance of a 
Wood-Destrov ing Insect Information Report on the structure 
which states that the structure is free from subterranean 
tennites or that a prev ious infestation is inactive. 

(c) If a treatment is perfonned in conjunction with a WDIR. 
a copy of the written agreement and warranty, if an\. shall be 
included with or attached to and become a part of the WDIR. 

(d) A licensee, certified applicator, or registered technician 
shall not remove or destroy, or cause the removal or 
destruction of. anv wood-destrov ing organism evidence 
discovered in. on. under, or in or on debris under a structure 
inspected pursuant to this Rule except as required bv 
Paragraph (b) of this Rule. 

History Sutc: Auihoriry G.S. 106-65.29: 

Etf. July 1. 19^6: 

Readopted Eff. Xovember 22. 19": 

Amended Eff. August 3. 1992: September 1. 198': August 1. 

1980: 

Tetnporcvy .Amendment £//. January 10. 199': 

Temporary Expired Eff Oetober 31. 199': 

Amended Eff. July !. 1998. 

.0604 WOOD-DESTROMNG ORGANISMS 

RECORDS 

(a) A duplicate of each written agreement and waiver (if 
applicable) for the control or prevention of anv 



58 



NORTH CAROLINA REGISTER 



July /, 1998 



13:1 



BBimuiii iwaiiiiyjiwii 



APPROVED RULES 



\vood-destro\ing organism shall be kept bN the licensee for a 
minimum of two >ears be\ond the expiration date of the 
written agreement. The duplicate of each written agreement 
shall contain, in addition to the information specified under 2 
NCAC 34 .0605(a) or (d). the following: 

( 1 ) EPA approved brand name of pesticide used; 

(2) Names of all employees who applied pesticide: and 

(3) - Information required b\ EPA; 

(4) For restricted use pesticides: 

(A) concentration and approximate total \oiume 
of each pesticide applied; and 

(B) Subparagraphs (aMD and (2) and Part 
(a)(4HA) of this Rule shall also be included 
on the customer's cop\ of the written 
agreement. 

(b) A duplicate of each wood-destroN'ing insect or 
wood-destroying organism report shall be kept by the licensee 
for a minimum of two years be\ond the date of issuance. 

(c) Noncommercial certified applicators shall maintain the 
following records for two \ears be\ond the last date of 
treatment: 

( 1 ) EPA approved brand name of all pesticides used; 

(2) Concentration and approximate total volume of 
pesticide applied; 

(3) Names of all employees that applied pesticide; 

(4) Target pest; 

(5) Site of application; 

(6) Date of application; and 

(7) Information required bs EPA. 

(d) If the pesticide used to control an\ \\ood-destro\ing 
organism requires or recommends monitoring or inspecting for 
the pest to be controlled, the licensee, certified applicator, or 
their emplovees shall make and maintain records of all such 
inspection or monitoring activities. Such records shall be 
made available for inspection as pro\ ided for in 2 NCAC 34 
.0328. 

Hisioiy Note: Authorit}- G.S. 106-65.29: 

Ejf.Jidy I. 19'6: 

Readopted Eff. November 22. 19" ": 

Amended Eff. August 3. 1992: January I. 1989: August 1. 

1980: 

Temporary A mendinent Eff. Januaiy 10. 199^: 

Temporary Expired Eff. October 31. 1997: 

Amended Eff July L 1998. 

.0605 CONTRACTUAL AGREEMENTS FOR 
WOOD-DESTROYING ORGANISMS 

(a) All agreements for the control or prevention of 
vvood-destro\ing organisms in existing structures shall be in 
v\riting and shall ciearK set forth and include the following: 

( 1 ) Date propert) was inspected and full name of the 
inspector; 

(2) Exact location of property inspected or treated; 

(3) Complete name and address of the property owner 
or his authorized agent; 

(4) Complete name and address of the licensee; 

(5) License number and phase(s) of the licensee and 



full name of company licensee represents; 

(6) Signature of licensee or his authorized agent; 

(7) A foundation diagram or, if required or 
recommended by the label of the pesticide used, a 
site plan of the structure(s) or portions of such 
structure(s) inspected. The diagram or site plan 
shall clearly indicate and make full disclosure of: 

(A) The location of indi\ idual water sources; 

(B) An\ visible evidence of wood-destroying 
organism infestation; 

(C) Whether the infestation is active or inactive; 

(D) The location of an\ visibK damaged timbers; 

(E) Portions of the structure treated and not 
treated; 

(F) The minimum number and proposed 
location(s) of bait or monitoring device 
placements, if applicable; and 

(G) For treatment of wood-decay fungus 
infestations, the location and result of all 
moisture meter readings obtained pursuant to 
2 NCAC 34 .0508. 

(8) The date upon which the written agreement is 
entered into and the period of time co\ered b\ the 
written agreement: 

(9) The written agreement must clearK indicate. b\ 
complete not abbreviated common name(s). the 
wood-destroN ing organism(s) to be controlled or 
pre\ enled and the complete terms of the warranty to 
be issued, if any; 

(10) Whether or not reinspections are to be made and, if 
so. approximate time interval between, and renewal 
fees for same; 

(11) Conditions under which retreatments will be made; 

(12) Total price to be charged for treatment service and 
for repairs or excavations, where such are to be 
performed; 

(13) The written agreement. wai\er (if applicable), and 
Wood-DestroN ing Insect Report or 
Wood-Destro> ing Organism Report, shall not show 
or include the address and telephone number of an\ 
licensee's representative or emplo>ee other than the 
address and telephone number of those specified in 
Subparagraphs (a)(3). (4). and (5) of this Rule; 

(14) An\ licensee or business entit\ ad\ertising to be 
bonded shall advise each customer, in writing, in 
the proposal, whether or not the warrant} or written 
agreement will be covered b\ a bond of an\ t\pe; 

( 15) If the performance of the work is guaranteed b\ a 
bond, the agreement shall set forth those 
performance guarantees in wording identical to that 
in the bond itself; 

(16) 2 NCAC 34 .0501(a) shall also be followed: 

(17) Whether the written agreement or warrant) nia\ be 
transferred to subsequent owners of the propeit\ 
and the temis of an\ such transfer. 

(b) .A structure or structures covered b\ a written agreement 
or warranty for wood-destro\ing organisin(s) treatment shall 
not know ingh be placed under an additional written 



13:1 



NORTH CAROLINA REGISTER 



July 1, 199H 



59 



APPROVED RULES 



agreement or warrann for the same treatment while the first 
written agreement or warrant} is still in effect without first 
obtaining a separate written acknow ledgment of such signed 
b\ the property owner or authorized agent. 

(c) When periodic reinspections or retreatments are 
specified in written agreements for the control or pre\ ention 
of wood-destro\ ing organisms, the licensee shall issue to the 
properr\ owner or his authorized agent, after each reinspection 
or retreatment. a signed report of each reinspection or 
retreamient showing the condition of the property, w ith respect 
to the presence or absence of wood-destro>ing organisms. A 
record of such reinspections and retreatments shall be kept in 
the file of the licensee. Such reports shall be subject to 
inspection b> the enforcement agenc\ or committee. 

(d) All agreements for the control or pre\ention of 
wood-destroN ing organisms in buildings under construction 
shall be in writing and shall clearly set forth and include the 
following: 

(1 ) Date of final treatment and period of time co\ered 
b\ the written agreement; 

(2) Exact location of the treated propert\ ; 

(3) Complete name and address of the property o\sner 
or his authorized agent: 

(4) Complete name and address of the licensee: 

(5) License number and phase(s) of the licensee and 
full name of compan\ licensee represents; 

(6) Signature of licensee or his authorized agent: 

(7) The written agreement must clearK indicate. b\ 
complete not abbresiated common name(s). the 
wood-destro\ing organism! s) to be controlled or 
presented and the complete tenns of the warrant} to 
be issued, if an\; 

(8) Whether or not reinspections are to be made and. if 
so. approximate time inter\al between, and renewal 
fees, if an\. for same; 

(9) Conditions under which retreatments will be made: 

(10) Total price to be charged for treatment ser\ice; 

(11) .An) licensee or business entir\ adsertising to be 
bonded shall ad\ ise each customer, in writing, in 
the proposal, whether or not the warrant} or written 
agreement will be co\ered b} a bond of an\ r\pe: 

(12) If the performance of the work is guaranteed b\ a 
bond, the agreement shall set forth those 
perfonnance guarantees in wording identical to that 
in the bond itself: 

(13) 2 NCAC 34 .0604(a) shall also be followed; 

(14) W hether the written agreement or w arrant} ma} be 
transferred to subsequent owners of the property 
and the terms of an} such transfer. 

(e) If the licensee pro\ides pre\enti\e treatment(s) for 
subterranean termites to a structure(s) for someone such as a 
builder or construction compan} who is constructing the 
building(s) for someone else or with the purpose of offering 
the building(s) for sale, the licensee ma\ enter into a single 
master agreement with the builder to pro\ide the preventive 
treatment(s) for subterranean termites. This single master 
agreement shall include the following: 

( 1 ) Complete name and address of the builder or his 



authorized agent: 
(2) That information required in Subparagraphs (d)(4). 
(5). (6). (7). (8). (9). ( 10). ( 1 1 ). ( 12). ("l3). and (14) 
of this Rule. 
( f) \K hen a structure is treated under an agreement w ith a 
builder, the licensee shall: 

(1) Following completion of the treatment and upon 
notification b} the builder or bu}er. issue a written 
agreement to the initial bu}er. The written 
agreement issued to the bu}er shall include the 
following: 

(.A) Complete name and address of the builder or 
his authorized agent as it appears on the 
builder's agreement; 

(B) That information required in Subparagraphs 
(dun. (2). (3). (4). (5). (6). (7). (S"). (9). 
( 1 1 ). and (14) of this Rule. The builder shall 
be issued a cop} of an} written agreement 
issued the bu\ er. 

(2) Maintain a record of each treatment perfonned on 
each structure to include the follow ing information: 

(A) Exact location of the structure treated; 

(B) Date each treatment was perfonned; 

(C) The portion(s) of the structure treated. 

Hlstoiy Xote: Filed as a Temponiiy Ame)iJment Eff. 

October 15. 198' for a period of 1 80 days to expire on April 

12. 1988: 

Authority- G.S. 106-65.29: 

Eff. July 1. 19' 6: 

Readopted Eff Xovember 22. 19": 

.Amended Eff. August 20. 1980: .August 1. 1980: 

Teniporaiy Expired Eff Januaiy 19. 1988: 

.Amended Eff August 3. 1992: January 1. 1991: JanuaiT 1. 

1989: 

Temporaiy .Amendment Eff. Januaiy 10. 199': 

Temporaiy Expired Eft October 31. 199': 

.Amended Eff. July L 1998. 

SECTION .0700 - HOUSEHOLD PESTICIDES 

.0701 PRECALTIONS 

(a) Household pest control servicemen's kits which contain 
pesticides shall not be left where pets, domestic animals, 
children, or other unauthorized persons might remo\e. contact, 
or consume the contents. 

(b) WTien "tamper-proof or "tamper-resistant" bait stations 
are required b\ the label for acuteh toxic rodenticidal baits, 
each bait station shall be locked and adequate!} marked with 
the skull and crossbones and the word "poison." both at least 
one inch high, and the name, address, and telephone number 
of the licensee, and name of the compan} the licensee 
represents. 

(c) When "tamper-proof or "tamper-resistant" bait stations 
are required b} the label of rodenticides other than those in 
Paragraph (b) of this Rule, each bait station shall be marked 
with the EP.A appro\ed brand name and the signal word from 
the label. 



60 \ORTHCAROLI\A REGISTER 



July /, 199H 



13:1 



APPROVED RULES 



Histoiy Note: A itthorin- G. S. 1 06-65.29: 

Eft: July 1. 1976: 

Readopted Eff. November 22, 1977; 

Amended Eft: July I 1998: Januan- 1. 1989: August 1. 1980. 

.0703 WRITTEN RECORDS OF HOUSEHOLD 
PEST CONTROL 

(a) Written records on the treatment for the control of all 
household pests shall be maintained b\ the licensee and made 
available for inspection at any time during regular business 
hours upon request from the Division. Such records shall 
include the following information: 

(1) Complete name(s) and address(es) of both the 
certified applicator, if different than the licensee, 
and licensee or their authorized representatives and 
the property ovvner(s) or his authorized 
representative(s): 

(2) Name and address of company represented by the 
certified applicator or licensee or their authorized 
representatives; 

(3) Address(es) of property(ies) treated, type(s) of 
treatment(s). and date(s) treatment(s) perfonned; 

(4) Common name(s) of pest(s) to be controlled or 
covered bv the initial agreement or any subsequent 
treatments; 

(5) EPA approved brand name of pesticide used; 

(6) Information required b\ EPA; 

(7) Name of licensee, certified applicator, or registered 
technician making the application; and 

(8) For restricted use pesticides. Subparagraphs (a)(5). 
(6). and (7) of this Rule shall also be included on 
the customer's copy of the written agreement or 
service record. 

(b) Noncommercial certified applicators shall maintain and 
make available for inspection the following records of 
pesticides applied: 

( 1 ) EPA approved brand name of all pesticides applied; 

(2) Target pest(s); 

(3) Site of application: 

(4) Date of application; 

(5) Name of certified applicator or registered 
technician making the application; and 

(6) Information required b\ EPA. 

(c) Records must be retained for tw o v ears be\ end the last 
date of treatment. 

Hi.slon- Note: Aulhoritr G.S. 106-65.29: 

Eff. July 1. 1976: 

Readopted Eff. November 22. 1977: 

Amended Eff. Jiilv I 1998: January 1. 1989: .August 20. 

1980: August I. 1980. 

SECTION .0800 - FUMIGATION 

.0803 WRITTEN RECORDS OF FUMIGATION 

(a) Written records shall be maintained on all fumigation 
operations and be made available for inspection, upon request, 
bv the enforcement aaencv or Committee anvtime during 



regular business hours. Such records shall include the 
following information for each fumigation performed: 

(1) Complete name(s) and address(es) of both the 
certified applicator, if different than the licensee, 
and licensee or their authorized representatives and 
the property ow'ner(s) or his authorized 
representative(s); 

(2) Name and address of company represented by the 
licensee or certified applicator or their authorized 
representative; 

(3) Address of property(ies) to be fumigated; 

(4) Common name(s) of pest(s) to be fumigated; 

(5) EPA approved common name of fumigant used; 

(6) EPA registration number of fumigant applied; 

(7) If a restricted-use pesticide is used, that information 
required by EPA; 

(8) Total amount of fumigant applied; 

(9) Name of licensee or certified applicator perfomiing 
the fumigation; 

(10) For restricted use pesticides. Subparagraphs (a)(5), 
(6), (8), and (9) of this Rule shall also be included 
on the customer's copy of the written agreement or 
service record; 

(11) If the pest to be fumigated is a wood-destroying 
organism, all of 2 NCAC 34 .0605 shall be 
followed. 

(b) Noncommercial certified applicators shall maintain the 
following records of pesticides applied: 

( 1 ) EPA approved brand name of all fumigants applied; 

(2) EPA registration number c fumigant applied; 

(3) Total amount of fumigant applied; 

(4) Name of certified applicator performing the 
fumigation; 

(5) Target pest(s); 

(6) Exact site of application; 

(7) Date of application; and 

(8) Anv information required by EPA. 

(c) Records must be retained for two vears beyond the last 
date of treatment or the expiration of the written agreement, if 
applicable. 

Histoiy Note: AuthoriiyG.S. 106-65.29: 

Eff. July 1. 19^6: 

Readopted Eff November 22. 1977: 

Amended Eff. .My L 1998: January 1, 1989: August 20. 

1980: August 1. 1980. 

SECTION .0900 - DUTIES AND RESPONSIBILITIES 
OF LICENSEE 

.0902 FINANCIAL RESPONSIBILITY 

(a) A licensee shall obtain and maintain financial 
responsibility in the form of a general liability insurance 
policy which covers operations in progress and completed 
operations. The insurance policy must provide coverage for 
all emplo>ees that work for the licensee. If an insurance 
policy is issued to a structural pest control company that 
employs more than one licensee and the policv otherwise 



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61 



APPROVED RULES 



meets the standard set forth in this Rule, all licensees 
employed b\ the structural pest control company will be 
deemed to have insurance. 

(b) The insurance polic\ required in Paragraph (a) of this 
Rule must provide the follow ing minimum coverage: 

(1 ) Single limit 

Property Damage SI 00.000 Each Occurrence 
Bodilv Injury S300.000 Each Occurrence 

(2) Combined single 

limit S300.000 Each Occurrence 

(c) Each applicant for a license in any phase of structural 
pest control shall show evidence of his financial ability to 
properly indemnify persons suffering from the use or 
application of pesticides in the form of a Certificate of 
insurance completed b\' the insurance companv with the 
Division named as a certificate holder. 

(d) The Certificate of Insurance shall clearlv set forth the 
type of coverage, limits of liabilitv. and any exclusions of the 
policv and shall have attached an endorsement which indicates 
that the policv provides coverage for anv pollution or 
contamination occurring as a result of the use or application of 
any pesticide or shall state that such an endorsement has been 
issued with the policv . 

(e) The license applicant shall be responsible for the 
submission of the Certificate of Insurance to the Division as 
specified in Paragraphs (c) and (d) of this Rule. No license 
shall be issued, reissued, or renewed until said Certificate of 
Insurance is received b\ the Div ision. 

(t") The insurance policv (s) shall be with companies 
licensed, or otherwise approved to do business in North 
Carolina, by the NC Department of Insurance. The insurance 
policv shall be in full force and effect during the entire period 
covered b\ the license certificate. The license shall expire 
upon: 

( 1 ) reduction of the available coverage under the policv 
below the minimum limits set forth in Paragraph (b) 
of this Rule; 

(2) cancellation of the policv; or 

(3) expiration of the policv. 

Such expired license shall be reinstated onlv upon satisfactory 
proof that the licensee has obtained the required financial 
responsibilitv coverage. 

(g) The licensee shall give the Division at least 10 davs 
notice prior to the occurrence of the follow ing; 

( 1 ) cancellation of the policv ; 

(2) material change in the policv; or 

(3) reduction of the available coverage under the policv 
below the minimum limits set forth in Paragraph (b) 
of this Rule. 

(h) No structural pest control license shall be issued to any 
person where there exists an outstanding and unpaid final 
judgment against said person resulting from anv civil suit 
arising out of damages suffered bv a plaintiff as the result of 
a misuse of a pesticide by said person. Anv current and valid 
structural pest control license shall become null and void 180 
davs following the imposition of a final Judgment awarding 
damages to anv plaintiff resulting from a civ il suit arising out 
of losses suffered as the result of a pesticide misuse by the 



holder of said license unless the final judgment is settled in 
full within said 180 days. 

(i) Paragraphs (a) through (g) of this Rule shall not apply 
to anv person holding an inactive license as defined by 2 
NCAC 34 .0102(30).'' 

Histoiy Note: Aiithorin- G. S. 1 06-65. 3 7: 

Eff.July 1. 19'6: 

Readopted Eff. November 22. 19'"': 

.Amended Eff. Julv L J 998: November 2. 1992: Janiian- 1. 

1989: August 1, 1983. 

.0904 PROHIBITED ACTS 

(a) No reference shall be made bv anv certified applicator. 
licensee, business establishment, or business entity in any 
fonn of advertising that would indicate approval, 
endorsement, or recommendation by the Committee or bv anv 
agencv' of the federal government or North Carolina State, 
county . or city government. 

(b) The use of a structural pest control license(s). certified 
applicator's identification card(s). registered technician's 
identification card(s). or licensee identification card(s) for any 
purpose other than identification is prohibited. 

(c) In solicitation of structural pest control business, no 
licensee or his emplovees shall claim that inspections or 
treatments are required, authorized, or endorsed by any agency 
of the federal government or North Carolina State, countv. or 
city government unless said agencv states that an inspection or 
treatment is required for a specific structure. 

(d) No licensee shall advertise, in anv way or manner, as a 
contractor for structural pest control services, in anv phase(s) 
of work for which he does not hold a valid license(s) as 
provided for under G.S. 106-65. 2.'^(a). unless said licensee 
shall hold a valid certified applicator's identification card or 
registered technician's identification card, as provided for 
under G.S. 106-6.^.31. as an emplovee of a person who does 
hold a valid state license(s) covering phases of structural pest 
control work advertised. 

(e) The impersonation of any North Carolina State, countv; 
or city inspector or anv other governmental official is 
prohibited. 

(f) No licensee, certified applicator or registered 
technician's identification card holder shall advertise or hold 
himself out in anv manner in connection with the practice of 
structural pest control as an entomologist, plant pathologist, 
horticulturist, public health engineer, sanitarian, unless such 
person shall be qualified in such tleld(s) bv required 
professional and educational standards for the title used. 

(g) No certified applicator, licensee, or his employees shall 
represent to anv propertv owner or his authorized agent or 
occupant of any structure that anv specific pest is infesting 
said propertv. structure, or surrounding areas thereof, unless 
stronglv supporting v isible ev idence of such infestation exists. 

(h) No certified applicator or licensee or their emplovees 
shall authorize, direct, assist, or aid in the publication, 
advertisement, distribution, or circulation of anv material by 
false statement or representation concerning the licensee's 
structural pest control business or business of the company 



62 WORTH C.4ROL/\A REGISTER 



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13:1 



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with which he is employed. 

(i) No certified applicator or licensee or their employees 
shall advertise or contract in a company name style 
contradictory to that shown on the certified applicator's 
identification card or license certificate. 

(j) No certified applicator shall use any name style on his 
certified applicator's identification card which contains the 
words "exterminating"," pest control." or any other words 
which impK that he provides pest control services for a 
valuable consideration unless he is a licensee or a duly 
authorized agent or employee of a licensee. 

(k) No licensee issued an inactive license shall engage in 
anv phase of structural pest control under such inactive 
license. 

(1) No licensee, certified applicator, or registered technician 
shall indicate on any foundation diagram prepared pursuant to 
2 NCAC 34 .0601 or 2 NCAC 34 .0605 that hidden damage 
or possible hidden damage due to any wood-destroying 
organism exists in a structure unless there is visible evidence 
of infestation or damage present in the immediate area of the 
alleged hidden damage. 

(m) No pesticide shall be applied for the purpose of 
perfomiing structural pest control when the conditions at the 
site of application favor drift or runoff from the target site. 

HIslory Note: Filed as a Temporary Amendment Eff. July 

1 0. 1 995 for a period of 120 days or until the permanent rule 

becomes effective, whichever is sooner: 

Authority G.S. 106-65.29: 

EjfJulyl. 1976: 

Readopted Eff. November 22. 1977: 

Amended Eff. Julv l 1998: November 1. 1995: Januaiy 1. 

1991: January I. 1989. 

SECTION .1 100 - INSPECTION FEES 

.1101 RIGHTS OF ENFORCEMENT 

(a) The enforcement agenc\ and the member of the 
Attomev General's staff assigned to the Committee shall ha\e. 
during regular business hours, the right to see. examine, and 
inspect those records, chemicals, and such equipment as ma\ 
be deemed necessar> to the structural pest control operations 
of said person within the provisions of these Rules and 
Regulations and the Structural Pest Control Law. 

(b) The enforcement agency or any member of the 
Committee may in its discretion inspect an\ properties treated 
by structural pest control licensees or certified applicators for 
pests for the purpose of determining the efficiency of the 
remedial measures applied and to determine if treatment(s) 
comply with the requirements set forth in these Rules and 
Regulations. 

(c) When requested b\ the Division or Committee, the 
licensee or certified applicator shall fumish for anaKses. 
sufficient samples of pesticides or other chemicals used in 
treating for structural pests and shall provide copies, or allow 
the cop\ing. of such records as ma\ be deemed necessarx by 
the Division or Committee to document the use or application 
of pesticides or performance of work within the provisions of 



these Rules and the Structural Pest Control Law. 

History Note: Authorit}- G.S. 106-65.29: 
Eff. July 1. 1976: 

Readopted Eff November 22. 1977; 
.Amended Eff July L l^'^S. 



TITLE 7 - DEPARTMENT OF CULTURAL 
RESOURCES 

CHAPTER 4 - DIVISION OF ARCHIVES AND 
HISTORY 

SUBCHAPTER 4R - ARCHAEOLOGY AND 
HISTORIC PRESERVATION SECTION 

SECTION 0900 - TAX ACT CERTIFICATION 
REVIEW 

.0909 SCOPE OF RULES AND OVERVIEW OF 
STATUTORY AUTHORITY 

(a) Rules .0901 - .0908 of this Section relate to 
recommendations made b\ the State Historic Preservation 
Officer (SHPO) to the Secretan. of the interior in connection 
with federal tax incentives involving the rehabilitation of 
income-producing historic properties. 

(b) The SHPO makes certifications of historic significance 
and certifications of rehabilitation in connection with state tax 
incentives involving the rehabilitation of non-income- 
producing historic properties. The rules .0909 - .09l.'^ are 
applicable to these certifications. 

(c) The procedures for obtaining certifications are set forth 
in Rules .0909 - .0915 of this Section. Owners wishing 
certifications shall provide sufficient documentation to the 
SHPO to make certification decisions. These procedures shall 
be applicable to future and pending certification requests 
except as otherw ise pro\ ided herein. 

(d) Requests for certifications and approvals of proposed 
rehabilitation work shall be sent by an owner to the SHPO for 
review. All certification decisions shall be made by the SHPO 
based upon review b\ HPO staff of the application and 
supporting documentation. 

History Note: Authority G.S. 105-130.42: 105-151.23; 
Temporaiy Adoption Eff January 1. 1998: 
Eff. Ausust I, 1998. 

.0910 DEFINITIONS 

For purposes of Rules .0909 through .0916 of this Section, 
the following definitions shall appK : 

(1) "Certification" means the process established b\ 
these Rules to determine the historic significance of 
properties within National Register or certified 
historic districts as well as to approve proposed and 
completed rehabilitation work. 

(2) "Certified Historic District" means any district 



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63 



APPRO] ED RILES 



\shich is: 

(a) designated under a local ordinance which 
has been certified by the Secretary of the 
Interior as containing criteria which will 
substantialK achie\e the purpose of 
preser\ing and rehabilitating buildings of 
historic significance to the district; and 

(b) certified b\ the Secretan. of the Interior as 
meeting substantialK all of the requirements 
for the listing of districts in the National 
Register of Historic Places. 

(3) "Certified Historic Structure" means a structure 
which is either: 

(a) indi\ idualK listed in the National Register of 
Historic Places: or 

(b) located in a National Register or certified 
historic district and certified b\ the SHPO as 
being of historic significance to the district. 

Portions of larger buildings, such as single 
condominium apartment units, shall not be 
considered to be indi\ idual structures. Rowhouses. 
even with abutting or part) walls, shall be 
considered as separate buildings. For purposes of 
the certification decisions set forth in these rules, a 
certified historic structure encompasses the historic 
building and its site, landscape features, and 
en\ironment. generalK referred to herein as a 
"propert\ " as defined below . 

(4) "Department of the Interior" means the Linited 
States Department of the Interior. 

(5) "Historic District" means a geographically 
definable area, urban or rural, possessing a 
significant concentration, linkage or continuit) of 
sites, buildings, structures or objects united 
historicalK or aestheticalK b> plan or physical 
de\elopment. A district nia_\ also comprise 
indi\idual elements separated geographicalK but 
linked b\ association or histor> . 

(6) "Inspection" means a \isit h\ the HPO to a historic 
structure for the purposes of reviewing and 
e\aluating the significance of the structure and the 
proposed, ongoing, or completed rehabilitation 
work. 

(7) "National Park Serxice" (NPS) means the di\ision 
within the United States Department of the Interior 
responsible for administering national parks and 
historic preservation programs. 

(8) "National Register Historic District" means an\ 
district listed in the National Register of Historic 
Places. 

(9) "National Register Nomination" means the 
documentation for a resource that includes the 
National Register Nomination Form NPS 10-000 
with accompan>ing continuation sheets, maps, and 
photographs and that is prepared in accord with 
requirements and guidance in the NPS publication 
Hinv to Coiiipleie the Xationul Rei^istcr 



(12) 
(13) 



Registration Form: Bulletin 16.4 and in other NPS 
technical publications on the subject. 

( 10) "National Register of Historic Places" means the 
official federal roster of districts, sites, buildings, 
structures, and objects significant in American 
history, architecture. archeolog\ . engineering, and 
culture that the Secretar\ of the Interior is 
authorized to expand and maintain pursuant to the 
National Historic Preservation Act of 1966. as 
amended (often referred to as the "National 
Register"). 

(11) "Owner" means a person, partnership, corporation, 
or public agencv holding a fee-simple interest in a 
propert} or an\ other person or entity recognized b> 
the North Carolina Department of Revenue for 
purposes of the applicable tax benefits. 
"Property" means a building(s) and its site and 
landscape features. 

"Rehabilitation" means the process of returning a 
building or buildings to a state of utilitv. through 
repair or alteration, which makes possible an 
efficient use while preserving those portions and 
features of the building and its site and env ironment 
which are significant to its historic, architectural, 
and cultural values as determined b\ the SHPO. 

( 14) "Secretary of the Interior" means the Secretary of 
the United States Department of the Interior or the 
designee authorized to earn, out his her 
responsibilities. 

(15) "Standards for Rehabilitation" means the Secretary 
of the Interior's "Standards for Rehabilitation" as 
cited in the Code of Federal Regulations. 36 CFR 
67. 

(16) "State Historic Preservation Office" (HPO) means 
the section within the North Carolina Division of 
Archives and Historv responsible for administering 
historic preservation programs. 

(17) "Structure" means something built or constructed 
such as a building or dam. However, sites, 
landscapes, and objects do not qualifv' as structures. 

History Xoie: Authority G.S. 105-130.42: 105-151.23: 
Temporaiy .Adoption Eff. January 1. 1998: 
Eff. .August 1. 1998. 

.0911 INTRODUCTION TO HISTORIC 

PRESERVATION CERTIFICATIONS AND 
INFORMATION COLLECTION 

(a) OrdinariK. onl\ the fee-simple owner of the property in 
question mav applv for the historic preservation certifications 
described in Rules .0912 and .0914 in this Section. If an 
application for a certification is made bv someone other than 
the fee-simple owner, however, the application must be 
accompanied bv a written statement from the fee-simple owner 
indicating that he or she is aw are of the application and has no 
objection to the request for certification. 

(b) Owners of properties which are not vet individuallv 
listed in the National Reaister of Historic Places or w hich are 



64 SORTH CAROLI\A REGISTER 

iaSi^lJ HtHUMMJIIWHIHIIIillliliilHiaiBUMtlUWI 



Jiilv 1, 199H 



13:1 



APPROVED RULES 



in areas that are not yet National Register or certified historic 
districts may obtain certifications from the SHPO on whether 
or not rehabilitation proposals meet the "Standards for 
Rehabilitation" and proceed with the rehabilitation prior to the 
listing of the individual property or district in the National 
Register. Because final certifications of rehabilitation will be 
issued only to owners of certified historic structures, 
properties must be individually listed in the National Register 
or be located within National Register or certified historic 
districts b> the time a request for final certification is 
submitted to the SHPO. Similarly, if a property is located in 
a National Register or certified historic district but outside the 
district's period of significance, the National Register 
nomination or certification report for the district must be 
amended to expand the period of significance b\ the time a 
request for final certification is submitted to the SHPO. 

(c) Applications for certifications of proposed 
rehabilitation, historic significance, and completed 
rehabilitation shal' be submitted on the Historic Preservation 
Certification Application. Two copies of the application and 
supporting documentation such as photographs and plans are 
required. The applicant ma\ obtain a preliminar\ and non- 
binding determination of a property's historic significance 
within a National Register or certified historic district prior to 
undertaking a rehabilitation project. 

(d) Applications are available from the HPO. 

(e) Requests for certifications and approvals of proposed 
rehabilitation projects shall be sent to the HPO. 

(f) Where adequate documentation is not provided, the 
owner v\ ill be notified in writing of the additional information 
needed to undertake or complete the rex iew . At such time the 
application shall be placed on hold pending the receipt of 
complete information. If complete infonnation is not received 
within 30 days from the date of the request to the owner, the 
application shall be returned to the ov\ner due to insufficient 
documentation. 

(g) Approval of applications and amendments to 
applications shall be convex ed to the owner oni\ in writing b\ 
the SHPO or his her dul\ authorized representative. Decisions 
w ith respect to certifications shall be made on the basis of the 
descriptions contained in the application forms and other 
available information. In the e\ent of an) discrepancy 
between the application and other supplementarv material 
submitted with it (such as architectural plans, drawings, 
specifications, etc.). the applicant shall be requested to resolve 
the discrepancy, in writing. In the event the discrepanc\ is not 
resolved, the description in the application shall take 
precedence. 

History Note: Aiithohty GS. 105-130.42: 105-151.23: 
Temporary Adoption Eff. Jamiaiy 1. 1998: 
Eff. August 1. 1998. 



.0912 



OF 



HISTORIC 



CERTIFICATIONS 
SIGNIFICANCE 

(a) Requests for determinations of historic significance for 
properties within National Register or certified historic 
districts shall be made b\ the owner to determine: 



( 1 ) that a property located within a National Register or 
a certified historic district contributes to the historic 
significance to the district and is. therefore, a 
"certified historic structure"; or 

(2) that a propert}' located within a National Register or 
certified historic district is not of historic 
significance to the district. 

(b) The owner may contact the HPO to determine whether 
or not a property is individualK listed in the National Register 
of Historic Places or is located within a National Register or 
certified historic district. 

(c) If a property is located within the boundaries of a 
National Register or certified historic district and the owner 
seeks certification by the SHPO that the property contributes 
to the historic significance of the district, the owner must 
provide the following documentation for determination of 
historic significance and submit it with the request for final 
certification: 

{ 1 ) Name and address of property. 

(2) Current photographs of property including 
photographs of the building and its site and 
landscape features; photograph(s) showing the 
property along with adjacent properties and 
structures on the street; and photographs of interior 
features and spaces adequate to document 
significance. 

(3) Brief written description of ph\sical appearance 
including distinctive features and spaces. an\ 
alterations, and date(s) of construction. 

(4) Brief statement of significance summarizing how 
the property does or does not reflect the values that 
give the district its distinctive historical and visual 
character, and explaining anv significance attached 
to the property itself (e.g.. unusual building 
techniques, important event that took place there, 
etc.). 

(5) Map of the historic district clearly delineating 
property's location within the district. 

(d) Properties in National Register or certified historic 
districts containing more than one building where the 
buildings are judged b\ the SHPO to have been functionally 
related historicalK to serve an overall purpose, such as a mill 
complex or a residence and carriage house, shall be treated as 
a single certified historic structure when rehabilitated as part 
of an overall project. Buildings that are functionally related 
historically are those w hich have functioned together to serve 
an overall purpose during the property's period of significance. 
An evaluation shall be made to determine whether the 
component buildings contribute to the historic significance of 
the property and whether the property contributes to the 
significance of the historic district. 

(e) If a building is to be moved as part of a rehabilitation 
for which certification is sought, the owner must follow the 
procedures outlined in this Paragraph. When a building is 
moved. ever\ effort shall be made to re-establish its historic 
orientation, immediate setting, and general environment. 
Moving a building within a National Register or certified 
historic district max result in denial of a certification of 



13:1 



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65 



APPROVED RULES 



historic significance. 

(1) Documentation must be submitted that 
demonstrates: 

(A) the effect of the move on the building's 
integrit\' and appearance (any demolition, 
changes in foundations, etc.); 

(B) photographs of the original site and general 
environment of the new site; 

(C) evidence that the new site does not possess 
historical significance that would be 
adverselv affected by the moved building; 

(D) the effect of the mo\e on the distincti\e 
historical and visual character of the district. 
where applicable; and 

(E) the method of moving the building. 

(2) If an owner moves a building into a National 
Register or certified historic district or moves a 
building elsewhere within a district, the required 
infomiation described in Subparagraph (e)( I ) shall 
be included. The moved building shall be evaluated 
to determine if it contributes to the historic 
significance of the district both before and after the 
move as in Paragraph {T) of this Rule. The owner 
mav obtain a preliminarv and non-binding 
detemiination that a building proposed to be mo\ed 
will contribute to the historic significance of the 
district after the mo\e. 

(f) Properties within National Register or certified historic 
districts shall be e\aluated to determine if thev contribute to 
the historic significance of the district b\ application of the 
"Standards for E\aluating Significance within National 
Register or Certified Historic Districts" as set forth in Rule 
.0913 of this Section. 

(g) Once the significance of a property located within a 
National Register or certified historic district has been 
determined bv the SHPO. written notification shall be sent to 
the owner. 

Histoiy Note: Aiahorin- G. S. 1 05- 1 30. 42: 1 05- 151.23 : 
Temporary Adoption Eff. January I. 1998: 
Eff. Ausiist 1. 1998. 

.0914 CERTIFICATIONS OF REHABILIT.\T10N 

(a) Owners who want rehabilitation projects for certified 
historic structures to be certified by the SHPO as being 
consistent with the "Standards for Rehabilitation" shall 
compK' w ith the procedures listed in this Rule. 

( 1 ) The proposed project work must be appro\ed b\ the 
SHPO prior to undertaking rehabilitation work. To 
initiate re\iew of a rehabilitation project for 
certification purposes, an owner shall submit an 
application to the SHPO. In all cases, 
documentation, including photographs adequate to 
document the appearance of the structure(s). both 
on the exterior and on the interior, and its site and 
en\ ironment prior to rehabilitation must accompanv 
the application. The social securitv or ta\pa\er 
identification number! s) of all owners must be 



provided in the application. Other documentation. 

such as cleaning specifications. surve_\s of window 

conditions, or documentation of deterioration, may 

be required by the SHPO to evaluate rehabilitation 

projects. Plans for anv- attached, adjacent, or 

related new construction must also accompany the 

application. Because the circumstances of each 

rehabilitation project are unique to the particular 

certified historic structure involved, certifications 

that ma\ ha\e been granted to other rehabilitations 

are not specificalK applicable and mav not be relied 

on b> owners as applicable to their projects. 

(2) A project does not become a certified rehabilitation 

until it is completed by the owner and certified b\ 

the SHPO. The owner shall submit the request for 

final certification and provide the project 

completion date and a signed statement that the 

completed rehabilitation project meets the 

"Standards for Rehabilitation" and is consistent 

with project work previousK approved. Also 

required in requesting certification of a completed 

rehabilitation project are costs attributed to the 

rehabilitation, photographs adequate to document 

the completed rehabilitation, and the social security 

orta.\pa\er identification number(s) of all owners. 

(b) A rehabilitation project for certification puiposes 

encompasses all work on the interior and exterior of the 

certified historic structure(s) and its site and environment as 

determined b\ the SHPO. as well as related demolition, new 

construction or rehabilitation work which maN affect the 

historic qualities, integrity or landscape features, and 

en\ironment of the certified historic structure(s). More 

specific considerations in this regard are as follows: 

( 1 ) In order to receixe certification, all elements of the 
rehabilitation project must meet the "Standards for 
Rehabilitation." Portions of the rehabilitation 
project not in conformance w ith the "Standards for 
Rehabilitation" shall not be exempted and 
certification shall be denied. An owner undertaking 
a rehabilitation project shall not be held responsible 
for prior work not part of the current project and 
undertaken pri^'- to January I. 1998. An owner 
undertaking a rt .abilitation project shall not be held 
responsible for work that was undertaken b> 
previous owners or third parties, who ha\e no 
business or immediate familv relationship to the 
owner either at the time of the pre\ ious work or at 
the time the application is made. 

(2) If the SHPO has reason to belie\e that a project 
submitted for certification does not include the 
entire rehabilitation project subject to review 
hereunder, the SHPO ma> choose to withhold a 
decision on such a certification until such time as 
the proper scope of the rehabilitation project to be 
reviewed has been determined. Factors to be taken 
into account b\ the SHPO in this regard include, 
but are not limited to. the facts and circumstance of 
each application and; 



66 



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July 1. 199H 



13:1 



in 



APPROVED RULES 



(A) whether previous demolition, construction, 
or rehabilitation work irrespective of 
ownership or control at the time was in fact 
undertaken as part of the rehabilitation 
project for which certification is sought, and 

(B) whether property conveyances, 
reconfigurations, ostensible ownership 
transfers, or other transactions were 
transactions which purportedly limit the 
scope of a rehabilitation project for the 
purpose of review b\ the SHPO without 
substantial l\ altering beneficial ownership or 
control of the property. The fact that a 
property ma\ still qualif\ as a certified 
historic structure after having undergone 
inappropriate rehabilitation, construction, or 
demolition work does not preclude the 
SHPO from determining that such 
inappropriate work is part of the 
rehabilitation project to be reviewed. 

(3) Conformance to the "Standards for Rehabilitation" 
shall be detemiined on the basis of the application 
documentation and other available infomiation by 
evaluating the property as it existed prior to the 
commencement of the rehabilitation project. 

(4) For rehabilitation projects involving more than one 
certified historic structure where the structures are 
judged by the SHPO to have been functionalK 
related historicalK to ser% e an overall purpose, such 
as a mill complex or a residence and carriage house, 
rehabilitation certification shall be issued on the 
merits of the overall project rather than for each 
structure or individual component. For 
rehabilitation projects where there is no historic 
functional relationship among the structures, the 
certification decision shall be made for each 
separate certified historic structure regardless of 
hov\ the\ are grouped for ownership or 
development purposes. 

(.^) Demolition of a building as part of a rehabilitation 
project involving multiple buildings ma\ result in 
denial of certification of the rehabilitation. In 
projects where there is no historic functional 
relationship among the structures being 
rehabilitated, related new construction which 
physically expands one certified historic structure 
undergoing rehabilitation and. therefore. directK' 
causes the demolition of an adjacent structure will 
generally result in denial of certification of the 
rehabilitation unless a determination has been made 
that the building to be demolished is not a certified 
historic structure. In rehabilitation projects where 
the structures have been determined to be 
functionalK related historicalK. demolition of a 
component ma\ be approved, in limited 
circumstances, when: 

(A) the component is outside the period of 
significance of the property ; 



(B) the component is so deteriorated or altered 
that its integrity has been irretrievably lost; 
or 

(C) the component is a secondary one that 
generally lacks historic, engineering, or 
architectural significance or does not occupy 
a major portion of the site and persuasive 
evidence is present to show that retention of 
the component is not technicalK or 
economicalK feasible. 

(6) In situations involving the rehabilitation of a 
certified historic structure in a historic district, the 
SHPO shall review the rehabilitation project first as 
it affects the certified historic structure and second 
as it affects the district and make a certification 
decision accordingK . 

(7) In the event that an owner of a portion of a certified 
historic structure requests certification for a 
rehabilitation project related only to that portion of 
the structure, but there is or was a larger related 
rehabilitation project(s) occurring with respect to 
other portions of the certified historic structure, the 
SHPO's decision on the requested certification shall 
be based on review of the overall rehabilitation 
project(s) for the certified historic structure. 

(c) Upon receipt of a complete application describing the 
rehabilitation project, the SHPO shall determine if the project 
is consistent with the "Standards for Rehabilitation." If the 
proposed project does not meet the "Standards for 
Rehabilitation," the owner shall be advised of that fact in 
writing and, where possible, shall be advised of necessarj' 
revisions, in the form of conditions, that will bring the 
proposed rehabilitation project into compliance with the 
Standards. 

(d) Once a proposed project has been approved, substantive 
changes in the work as described in the application must be 
brought promptlv to the attention of the SHPO bv written 
statement to ensure continued conformance to the Standards. 
The SHPO shall notif\ the owner in writing whether the 
revised project continues to meet the Standards. Oral 
approvals of revisions are not authorized or valid. 

(e) Completed projects mav be inspected by the HPO to 
determine if the work meets the "Standards for 
Rehabilitation." 

(f) If a completed rehabilitation project does not meet the 
"Standards for Rehabilitation." an explanatory letter from the 
SHPO or his/her duly authorized representative shall be sent 
to the owner. If a propertv was not rehabilitated in 
conformance with the "Standards for Rehabilitation" and the 
nonconforming work appears to have resulted in the loss of 
the qualities for which the propertv or the district in which it 
is located was listed in the National Register, the SHPO. as 
administrator of the National Register program in North 
Carolina, shall notify the National Register of Historic Places 
in accord with the Code of Federal Regulations. 

HIslory Note: AiilhorUy G.S. 105-130.42: 105-1 51. 23: 
Temporary .Adoption Eff. January I. I99H: 



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67 



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Eff. August I. 199S. 

.0915 STANDARDS FOR REHABILITATION 

(a) The North Carolina Historical Commission interprets 
the "Standards for Rehabilitation" to require that the qualit> of 
materials and craftsmanship used in a rehabilitation project 
must be commensurate with the quality of materials and 
craftsmanship of the historic building in question. Certain 
treatments, if improperh applied, or certain materials b\ their 
ph\sical properties, ma_\ cause or accelerate physical 
deterioration of historic buildings. Inappropriate physical 
treatments include, but are not limited to: damaging masonr\' 
repointing techniques; exterior cleaning methods such as 
sandblasting or damaging water pressure: or the introduction 
of sealers or "non-breathable" materials on masonn. surfaces, 
insulation, storm windows, and epo\\ where the application 
of such treatments or materials does not confomi to NPS 
Guidelines for Rehahiliuiiiug Historic Buildings and NPS 
"Presersation Briefs." Nonconfomiing use of these materials 
and treatments ma\ result in denial of certification. Similarh. 
exterior additions that duplicate the form, material, and 
detailing of the structure to the extent that the\ compromise 
the historic character of the structure shall result in denial of 
certification. 

Other r\pical denial issues in which the historic integrir\ of 
the structure is compromised include but are not limited to the 
following: removal of character defining historic 
exterior interior materials and features such as doors. 
windows, woodwork, and significant landscape features: 
excessive site paving: installing undocumented or non-period 
features: excessi\ e alteration of exterior interior features or 
spaces; removal of plaster from interior masonrv walls to 
expose underKing masonrv' surface; installation of 
inappropriate replacement doors and windows such as metal 
or vinv 1 clad w indow s in place of wood windows; replacement 
of non-deteriorated or repairable materials such as w indow s or 
millwork; painting unpainted masonn. surfaces; installation of 
artificial siding. 

(b) In limited cases, it ma\ be necessarv to dismantle and 
rebuild portions of a certified historic structure to stabilize and 
repair weakened structural members and s>stems. In such 
cases, the SHPO shall consider such extreme intervention as 
part of a certified rehabilitation ifi 

(1) the necessit\ for dismantling is Justified in 
supporting documentation: 

(2) significant architectural features and o\erall design 
are retained: and 

(3) adequate historic materials are retained to maintain 
the architectural and historic integrity of the o\erall 
structure. The "Standards for Rehabilitation" 
require retention of distinguishing historic materials 
of external and internal walls as well as structural 
systems. In limited instances, rehabilitations 
invoking remo\al of existing external walls, i.e.. 
external walls that detract from the historic 
character of the structure such as in the case of a 
nonsignificant later addition or walls that ha\e lost 
their structural intetirit\ due to deterioration. ma\ 



be certified as 
Rehabilitation." 



meeting the "Standards for 



History h'ote: Authority G.S. 105-130.42: 105-151.23: 
Temporar}- .Adoption Ejf. Januaiy 1. 199H: 
Eff. August 1. 1998. 



TITLE 10 - DEPARTMENT OF HEALTH AND 
HUMAN SER\ ICES 

CHAPTER 3 - FACILITY SERVICES 

SUBCHAPTER 3U - CHILD DAN CARE 
STANDARDS 

SECTION .0300 - PROCEDURES FOR OBTAINING 
A LICENSE FOR A CHILD CARE CENTER 

.0302 APPLICATION FOR A LICENSE FOR A 
CHILD CARE CENTER 

(a) The indi\ idual who w ill be legalK responsible for the 
operation of the center, which includes assuring compliance 
with the licensing law and standards, shall appK for a license 
using the form provided b\ the Di\ ision. If the operator will 
be a group, organization, or other entir\. an officer of the 
entit\ who is legally empowered to bind the operator shall 
complete and sign the application. 

(b) The applicant shall arrange for inspections of the center 
b\ the local health, building and fire inspectors. The applicant 
shall proNide an appro\ed inspection report signed bv the 
appropriate inspector to the Di\ ision representative. 

( 1 ) A pro\ isional classification ma\ be accepted in 
accordance with Rule .040 1( 1 ) of this Subchapter. 

(2) When a center does not confonn with a specific 
building, fire, or sanitation standard, the appropriate 
inspector ma\ submit a written explanation of how 
equivalent. alternati\ e protection is pro\ ided. The 
Di\ ision ma> accept the inspector's documentation 
in lieu of compliance w ith the specific standard. 
Nothing in this Regulation is to preclude or 
interfere with issuance of a pro\ isional license 
pursuant to Section .0400 of this Subchapter. 

(c) The applicant, or the person responsible for the 
da\ -to-da\ operation of the center, shall be able to describe the 
plans for the daih program, including room arrangement, 
staffing patterns, equipment, and supplies, in sufficient detail 
to show that the center will compK with applicable 
requirements for activities, equipment, and staff child ratios 
for the capacity of the center and t>pe of license requested. 
The applicant shall make the following written information 
a\ailable to the Di\ ision for re\'iew to \erify compliance w ith 
pro\ isions of this Subchapter and the licensing law : 

( 1 ) daih schedules. 

(2) acti\ir\ plans. 

O) emerge; -'\ care plan. 

(4) discipline policv. 

(5) incident reports. 



68 NOR TH CAROL ISA REGIS TER 



July /. 1998 



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APPROVED RULES 



(6) incident logs, 

(7) a copy of the certified criminal history check for the 
applicant, or the appHcant's designee as defined in 
Rule .2701(g) of this Subchapter, from the Clerk of 
Superior Court's office in the county or counties 
where the individual has resided during the 
previous 12 months. 

(d) The applicant shall, at a minimum, demonstrate to the 
Division representative that measures will be implemented to 
have the following information in the center's files and readily 
available to the representative for review: 

(1) Staff records which include an application for 
employment and date of birth; documentation of 
previous education, training, and experience: 
medical and health records: documentation of 
participation in training and staff development 
activities; and required criminal records check 
documentation; 

(2) Children's records which include an application for 
enrollment; medical and immunization records; and 
permission to seek emergency medical care; 

(3) Dai K attendance records; 

(4) Records ot monthlv fire drills giving the date each 
drill is held, the time of da\. the length of time 
taken to evacuate the building, and the signature of 
the person that conducted the drill: 

(5) Records of monthlv plav ground inspections 
documented on a checklist provided by the 
Division; and 

(6) Records of m dication administered. 

(e) The Division representative shall measure all rooms to 
be used for child care and shall assure that an accurate sketch 
of the center's floor plan is part of the application packet. The 
Division representative shall enter the dimensions of each 
room to be used for child care, including ceiling height, and 
shall show the location of the bathrooms, doors, and required 
exits on the floor plan. 

(f) The Division representative shall make one or more 
inspections of the center and premises to assess compliance 
with all applicable standards. 

(1) If the center is in compliance, the Division shall 
issue the license. 

(2) If the center does not compK, the representative 
ma\ recommend issuance of a pro\ isional license in 
accordance with Section .0400 of this Subchapter 
or the representative may recommend denial of the 
application. Final disposition of the 
recommendation to den\ is the decision of the 
Division. 

(3) The license shall be displaced in an area that 
parents are able to view dailv . 

(g) If a person applies for a child care facility license after 
any child care facility license held by that person has been 
revoked or summarily suspended by the Division within the 
previous 12 months, or during the appeal if a person appeals 
the Division's revocation or summary suspension, the 
Division may deny the application for another license based 
on the compliance histon of the person appl> ing for a license. 



History Note: Authority G.S. 110-88(2): 110-88(5): 110-91; 

110-92: 110-93: 110-99: 143B-I68.3: 

Efj: January I. 1986: 

Amended Eff. July A 1298: January 1, 1996: November 1, 

1989: July I. 1988: January 1, 1987. 

SECTION .0700 - REQUIREMENTS FOR CENTER 
STAFF 

.0704 PRESERVICE REQUIREMENTS FOR 
ADMINISTRATORS 

(a) A child care administrator who has not met the staff 
qualifications required b\ G.S. 110-91(8) shall meet the 
requirements in this Rule prior to exercising any child caring 
responsibilities. 

( 1 ) Have either a high school diploma or its equivalent; 
and 

(2) Have two years of full-time veriflable work 
experience in a child care center or early childhood 
work experience; or an undergraduate, graduate, or 
associate degree, with at least 12 semester hours in 
child development, child psvchology, earlv 
childhood education or directly related field; or a 
Child Development Associate Credential; or 
completion of a community or technical college 
curriculum program in the area of child care or 
earlv childhood; or one vear of full-time verifiable 
child care or early childhood work experience and 
a North Carolina Early Childhood Credential; and 

(3 ) Have verification of having successfully completed, 
or be currently enrolled in, two semester credit 
hours, or 32 clock hours, of training in the area of 
early childhood program administration; or, have 
one vear experience performing administrative 
responsibilities; or 

(b) An administrator who does not meet the requirements 
of Paragraph (a) of this Rule mav share the requirements in 
Paragraph (a) of this Rule with another individual, provided 
that prior to exercising child caring responsibilities, the 
individual who is responsible for planning and implementing 
the dailv program at the center to compiv w ith Sections .0500 
and .0600 of this Subchapter shall be a full-time staff person 
on-site who meets Subparagraphs (a) (1) and (2) of this Rule, 
and the other individual shall meet Subparagraph (a)(3) of this 
Rule and be either on-site or off-site. 

(c) Any person who is at least 21 years old and literate who 
was employed as an on-site administrator in a child care 
program on or before September I, 1986, shall be exempt 
from the provisions of Paragraphs (a) and (b) of thi^ Rule, as 
long as the person is emplo>ed by the same operator. 

Histoty Note: Authority C.S. 110-91(8): 143B-168.3: 
Eff. January /. 1986: 

Amended Eff. July 1. 1998: April 1. 199': Novemlvr I. 1989: 
July I. 1988: January I. 1987. 

.0710 PRESERVICE REQUIREMENTS FOR LEAD 
TEACHERS, TEACHERS AND AIDES 



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69 



APPROVED RULES 



If an indi\idual already has a North Carolina EarK 
Childhood Credential or its equi\alent. none of the 
requirements of this Rule shall appK. If an individual does 
not have a North Carolina EarK Childhood Credential or its 
equivalent, the requirements of this Rule shall be met. 

( 1 ) A lead teacher or a teacher shall be at least 1 8 \ ears 
of age. have a high school diploma or its equivalent, 
and have at least one of the following: 

(a) One Near of verifiable child care experience 
working in a child care center or two \ears of 
\erifiable experience as a licensed famlK 
child care home operator; or 

(b) Successful completion of a two \ear high 
school Child Care Services Occupational 
Home Economics Program; or 

(c) TwentN hours of training in child 
development, which could include the North 
Carolina EarK Childhood Credential 
coursework. within the first six months of 
emploxment in addition to the number of 
annual inser\ ice training hours required in 
Rule .0707 of this Section. 

(2) An aide is a person who assists the lead teacher or 
the teacher in planning and implementing the dail> 
program, and shall be at least 16 \ears old and 
literate. 

(3) Individuals emploxed prior to .luK I. 1998 are 
exempted from the requirements of this Rule, as 
long as the\ remain emploved b\ the same operator. 

Hisiory Xotc: Aiilhoriiy U.S. 11 0-91 iS): 143B-168.3: 
Eff.July 1. 1988: 

Amended EllJulv 1. 1998: April 1. 199': October 1. 1991: 
November). 1989. 

SECTION .0800 - HEALTH STANDARDS FOR 
CHILDREN IN CENTERS 

.0806 TOILETING, CLOTHING AND LINENS 

(a) Diapers will be changed whenever thev become soiled 
or wet and not on a shift basis. 

(b) There must be clean clothes available so that when the 
clothes worn b\' a child becomes wet or soiled the child has 
clean clothes to put on. The change of clothing mav be 
pro\ ided b\ the center or b\ the child's parents. 

(c) A suppK of clean linen must be on hand so that linens 
can be changed w henever thev become soiled or wet. 

(d) Staff shall not force children to use the toilet and staff 
shall consider the developmental readiness of each individual 
child during toilet training. 

HiMorvNole: Authoriiy U.S. 110-91 ill: 143B-168.3: 

Eff. JuiniLiry I. I9S6: 

Amended Eff. July L 1998: November I. 1989. 

SECTION .1700 - FAMILY CHILD CARE HOME 
STANDARDS 



.1702 APPLICATION FOR A LICENSE FOR A 
FAMILY CHILD CARE HOME 

(a) Any person who plans to operate a family child care 
home shall appK for a license using a form provided b\ the 
Division. The applicant shall submit the completed 
application, which complies with the following, to the 
Division: 

( 1 ) OnK one licensed familv child care home shall 
operate at the location address of anv hoine. 

(2 ) The applicant shall list each location address w here 
a licensed familv child care home will operate. 

(b) When a famiK child care home will operate at more 
than one location address bv cooperative arrangement among 
two or more families, the following procedures shall applv : 

( 1 ) One parent whose home is used as a location 
address shall be designated the coordinating parent 
and shall co-sign the application with the applicant. 

(2) The coordinating parent is responsible for know ing 
the current location address at all times and shall 
provide the information to the Division upon 
request. 

(c) The operator shall assure that the structure in vshich the 
familv child care home is located complies with the following 
requirements: 

(1) Compiv with the North Carolina Building Code for 
familv child care homes or have written approval 
for use as a familv child care home bv the local 
building inspector as follows: 

(A) Meet Volume 1-B Uniform Residential 
Building Code or be a manufactured home 
bearing a third part)' inspection label 
certifying compliance with the Federal 
Manufactured Home Construction and 
Safetv Standards or certifying compliance 
with construction standards adopted and 
enforced bv the State of North Carolina. 
Homes shall be installed in accordance w ith 
North Carolina Manufactured Mobile Home 
Regulations published bv the NC 
Department of Insurance. 

Exception: Single wide manufactured homes 
will be limited to a maximum of three 
preschool-aged children (not more than two 
mav be two vears of age or less) and two 
school-aged children. 

(B) All children shall be kept on the ground level 
w ith an exit at grade. 

(C) All homes shall be equipped with an 
electricallv operated (with a batten, backup) 
smoke detector, or one electricallv operated 
and one barterv operated smoke detector 
located next to each other. 

(D) All homes shall be provided with at least one 
five lb. 2-.A:10-B:C type extinguisher readilv 
accessible for even 2. .^00 square feet of 
floor area. 

(E) Fuel burning space heaters, fireplaces and 
floor furnaces which are listed and approved 



70 



NORTH CAROLINA REGISTER 



July 1,1998 



13:1 



APPROVED RULES 



for that installation and are provided with a 
protective screen attached securely to 
substantial supports will be allowed. 
However, unvented fuel burning heaters and 
portable electric space heaters of all tvpes 
are prohibited. 

(2) Assure that all indoor areas used b\ children are 
heated in cool weather and ventilated in wann 
weather. 

(3) Cover or insulate hot pipes or radiators which are 
accessible to the children. 

(d) The applicant shall also submit supporting 
documentation with the application for a license to the 
Di\ ision. The supporting documentation shall include a copy 
of the applicant's certified criminal histor> check from the 
Clerk of Superior Court's office in the county or counties 
where the individual has resided during the previous 12 
months: a copy of documentation of completion of a first aid 
and cardiopulmonan. resuscitation (CPR) course: proof of 
negative results of the applicant's tuberculosis test completed 
within the past 12 months: a completed health questionnaire: 
a cop\ of current pet vaccinations for an\ pet in the home: a 
negative well water bacteriological analysis if the home has a 
pri\ate well: copies of an\ inspections required b> local 
ordinances: and an\ other documentation required to support 
the issuance of a license required b\ the Division. 

(e) Upon receipt of an acceptable application and 
supporting documentation as required b\ the Division, a 
Division representative shall make an announced visit to each 
home unless the applicant meets the criteria in Par*, aph (g) 
of this Rule to determine compliance with the standards, to 
offer technical assistance when needed, and to provide 
information about local resources. 

( 1 ) If the home is found to be in compliance w ith the 
applicable requirements of G.S. 110 and this 
Section, a license shall be issued. 

(2) If the home is not in compliance but has the 
potential to compK. the Di\ ision representati\e 
shall establish w ith the operator a reasonable time 
period for the home to achieve full compliance. If 
the Di\ision representati\e determines that the 
home is in compliance within the established time 
period, a license shall be issued. 

(3) If the home is not in compliance, cannot potentially 
compl_\. or fails to complx within the appropriate 
time, the Division shall den> the application. Final 
disposition of the recommendation to den\ is the 
decision of the Division. 

(f) In emergencv situations as determined by the Division. 
the Di\ision ma\ allov\ the applicant to temporarily operate 
prior to the Division representative's visit described in 
Paragraph (e) of this Rule. A person is not able to operate 
legallv until he or she has received from the Division either 
temporary permission to operate or a license. 

(g) If a person applies for a child care facilitv license after 
anv child care facility license held b\ that person has been 
revoked or summariK suspended bv the Div ision within the 
previous 12 months, or during the appeal if a person appeals 



the Division's revocation or summary suspension, the 

Division may denv the application for another license based 

on the compliance history of the person applying for a license. 

(h) Use of the license is limited to the following conditions: 

( 1 ) The license cannot be bought, sold, or transferred 
from one individual to another. 

(2) The license is valid only for the location 
address/addresses listed on it. 

(3) The license must be returned to the Division in the 
event of termination or revocation. 

(4) The license shall be displayed in a prominent place 
that parents are able to view daily and shall be 
shown to each child's parent, guardian, or custodian 
when the child is enrolled. 

(i) A licensee is responsible for notifying the Division 
whenever a change occurs which affects the information 
shown on the license. 

Hisioiy Note: Auihority G.S. 110-88(5): 110-91: 110-93: 

110-99: 143B-168.3: 

Eff. Jcimiaiy 1 . 1986: 

.4iucihL'J Eff. .Mx L I '^98: January 1. 1991: November I. 

1989: January 1. 198'^. 

.1720 SAFETY AND SANITATION 
REQUIREMENTS 

(a) To assure the safetx of children in care, the operator 
shall: 

( 1 ) separate firearms from ammunition and keep both 
in locked storage. 

(2) keep items used for starting fires, such as matches 
and lighters, out of the children's reach. 

(3) keep all medicines in locked storage. 

(4) keep hazardous cleaning supplies and other items 
that might be poisonous, e.g.. toxic plants, out of 
reach or in locked storage when children are in 
care. 

(5) keep first-aid supplies in a place easily accessible to 
the operator. 

(6) ensure the equipment and tovs are in good repair 
and are developmentallv appropriate for the 
children in care. 

(7) have a working telephone within the familv child 
care home. Telephone numbers for the fire 
department, law enforcement office, emergencv 
medical service, and poison control center shall be 
posted near the telephone. 

(8) have access to a means of transportation that is 
always available for emergency situations. 

(9) be able to recognize common svmptoms of 
illnesses. 

(b) No drug or medication shall be administered to anv 
child without specific instruction's from the child's parent, a 
ph\ sician. or other authorized health professional. 

( 1 ) Prescribed medicine shall be in its original 
container bearing the pharmacist's label which lists 
the child's name, date the prescription was filled, 
the physician's name, the name of the medicine or 



13:1 



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71 



APPROVED RULES 



the prescription number, and directions tor dosage, or be 
accompanied b\ written instructions for dosage, bearing the 
child's name, which are dated and signed by the prescribing 
physician or other health professional. Prescribed medicine 
shall be administered onl\ to the person for whom it is 
prescribed. 

(2) Over-the-counter medicines, such as cough syrup, 
decongestant, acetaminophen, ibuprofen. topical 
teething medication, topical antibiotic cream for 
abrasions, or medication for intestinal disorders 
shall be in its original container and shall be 
administered as authorized in writing b\ the child's 
parent, not to exceed amounts and frequenc\ of 
dosage specified in the printed instructions 
accompan>ing the medicine. The parent's 
authorization shall gi\e the child's name, the 
specific name of the over-the counter medicine, 
dosage instructions, the parent's signature, and the 
date signed. 0\ei-the counter medicine ma\ also 
be administered in accordance with instructions 
from a physician or other authorized health 
professional. 

(3) When an\ questions arise concerning whether 
medication prosided b\ the parent should be 
administered, that medication shall not be 
administered without signed, written dosage 
instructions from a licensed phxsician or authorized 
health professional. 

(4) A written statement from a parent ma\ gi\e blanket 
permission for up to six months to authorize 
administration of medication for asthma and 
allergic reactions. A written statement from a 
parent ma\' give blanket permission for up to one 
year to authorize administration of topical 
ointments such as sunscreen and over-the-counter 
diapering creams. The written statement shall 
describe the specific conditions under which the 
medication and creams are to be administered and 
detailed instructions on how they are to be 
administered. A written statement from a parent 
may give blanket permission to administer a one- 
time, weight appropriate dose of acetaminophen in 
cases where the child has a fever and the parent can 
not be reached. 

(5) An\ medication remaining after the course of 
treatment is completed shall be returned to the 
child's parents. 

(6) An\ time the operator administers medication other 
than sunscreen and diapering creams to any child in 
care, the child's name, the date. time, amount and 
t\pe of medication gi\en. and the signature of the 
operator shall be recorded. This information shall 
be noted on a form pro\ ided b\ the Division or on 
a separate fonii de\ eloped b\ the operator which 
includes the required information. This information 
shall be a\ailable for re\iew b\ a representati\e of 
the Di\ ision during the time period the medication 
is beinii administered and for at least six months 



after the medication is administered. 

(c) To assure the health of children through proper 
sanitation, the operator shall: 

( 1 ) collect and submit samples of water fi-om each well 
used for the children's water supply for 
bacteriological analysis to the local health 
department or a laboratorv certified to anaKze 
drinking water for public water supplies by the 
North Carolina Di\ision of Laborator> Services 
every two years. Results of the analysis shall be on 
file in the home. 

(2) have sanitars toilet, diaper changing and 
handwashing facilities. Diaper changing areas shall 
be separate from food preparation areas. 

(3) use sanitars diapering procedures. Diapers shall be 
changed whenever the\ become soiled or wet. The 
operator shall: 

(A) wash his or her hands before, as well as 
after, diapering each child. 

(B) wash the child's hands after diapering the 
child. 

(C) place soiled diapers in a covered, leak-proof 
container which is emptied and cleaned 
dail\. 

(4) use sanitary procedures when preparing and serv ing 
food. The operator shall: 

(A) wash his or her hands before and after 
handling food and feeding the children. 

(B) wash the child's hands before and after the 
child is fed. 

(5) refrigerate all perishable food and beverages. The 
refrigerator shall be in good repair and maintain a 
temperature of 45 degrees Fahrenheit or below. A 
refrigerator themiometer is required to monitor the 
temperature. 

(6) date and label all bottles for each indiv idual child, 
except when there is onl\ one bottle-fed child in 
care. 

(7) have a house that is free of rodents. 

(8) screen all windows and doors used for ventilation. 

(9) have all household pets vaccinated w ith up-to-date 
vaccinations as required b\ North Carolina law and 
local ordinances. Rabies vaccinations are required 
for cats and dogs. 

(10) store garbage in waterproof containers with tight 
fitting covers. 

(d) The operator shall not force children to use the toilet 
and the operator shall consider the developmental readiness of 
each individual child during toilet training. 

Hisiury.Xoie: Authoniy U.S. IW-Sti: llU-9li6i: 
Eff.Julxl. 1998. 



TITLE 1 1 - DEPARTMENT OF INSURANCE 
CHAPTER 12 - LIFE AND HEALTH DIVISION 



72 



NORTH CAROL/ \A REGISTER 



July /, 1998 



13:1 



asmnmsfsmmmmmrnKteimmu 



APPROVED RULES 



SECTION .1800 - PPO BENEFIT PLAN PRODUCT 
LIMITATIONS 

.1803 GENERAL REQUIREMENTS 

No insurer shall provide any PPO benefit plan unless it 
complies with the following: 

(1) Where the covered benefits of a PPO benefit plan 
include coinsurance, the difference in coinsurance 
rates between in-netw ork covered services and out- 
of-netTi\ork covered services shall not exceed 30 
percentage points. 

(2) If the schedule of benefits for a PPO benefit plan 
imposes a deductible for in-network covered 
services, the amount of any separate annual 
deductible per enrollee or per famiK for out-of- 
netvvork covered services may not exceed n\ o times 
the amount of the annual per enrollee or per family 
deductible applied to in-nerwork covered services. 

(3) If the schedule of benefits for a PPO benefit plan 
does not include an annual deductible for in- 
nerwork covered services, the annual deductibles 
for out-of-network covered services shall not 
exceed two hundred and fifty dollars (S250) per 
enrollee and the famiK deductible max not exceed 
se\en hundred and tlftx dollars (S750). 

(4) The portion of any charge for out-of-nen\ ork 
covered services to be applied to an annual 
deductible may be based on actual charges or the 
insurer's usual and customan, charges. 

(5) If there are benefit maximums for in-network 
covered services, the amount of any annual and 
lifetime maximum limits for out-of-network 
covered services shall not be less than one-half of 
the amount of any annual and lifetime maximum 
limits for in-network covered serv ices. 

(6) If a PPO benefit plan includes copavments for both 
in-network covered services and out-of-network 
covered services, the amount of the copavment for 
an out-of-network covered service shall not exceed 
the copavment for an in-network covered service by 
more than twenty dollars (S20.00) or 100%. 
whichever is greater. 

(7) If the schedule of benefits for a PPO benefit plan 
limits the annual out-of-pocket expenses of 
enrollees to a maximum amount for in-network 
covered services, the amount of any separate 
annual out-of-pocket maximum for out-of-network 
covered services may not exceed two times the 
maximum amount for in-network covered services. 

(8) If the schedule of benefits for a PPO benefit plan 
does not include an annual maximum limit on out- 
of-pocket expenses for in-network covered services, 
the maximum limit on out-of-pocket expenses for 
out-of-network covered services shall not exceed 
one thousand two hundred and fifty dollars 
(SI. 250) per enrollee or three thousand seven 
hundred and fifty dollars ($3,750) per family. 

(9) An insurer offering a PPO benefit plan mav limit 



coverage for annual physicals and health screenings 
performed for preventative purposes to those 
services provided on an in-network basis, except 
that services provided in connection with mandated 
benefits must be available on both an in-network 
and out-of-network basis. An insurer shall provide 
coverage on both an in-network and out-of-network 
basis for all other covered services. 

(10) PPO benefit plans shall give enrollees the option to 
choose in-network covered services or out-of- 
network covered services each time those covered 
services are authorized, obtained, or rendered; and 
shall not require enrollees to obtain insurer 
approval to exercise that option. 

(11) An insurer offering a PPO benefit plan shall not 
impose different medical management 
requirements, including utilization review criteria or 
prior approval requirements, for out-of-network 
covered services than are imposed on in-network 
covered services. Those medical management 
requirements shall not restrict enrollees" abilities to 
seek covered services on out-of-network bases. 

Hisioiy Note: Auihorin- G.S. 58-2-40: 58-50-56: 
Temporary Adoption Eff. Jaimaiy 1, 1998: 
Eff. Aususi 1. 1998. 

.1804 DISCLOSURE REQUIREMENTS 

(a) If an enrollee utilizes out-of-network covered services. 
the explanation jf benefits shall contain an explanation of 
coverage for out-of-network covered services that allows each 
enrollee to determine his or her obligations with respect to 
those ser\ ices. 

(b) Marketing materials, evidences of coverage, enrollee 
handbooks, and other materials given to enrollees by an 
insurer that offers a PPO benefit plan shall contain a clear and 
comprehensive explanation of the PPO benefit plan. The 
explanation shall include the following information: 

(1) the method of reimbursement, including whether 
actual charges or usual and customary charges are 
used in making all benefit calculations; 

(2) applicable coinsurance, copavment. and deductible 
amounts; 

(3) an> other uncovered costs or charges; 

(4) the covered health care services that an enrollee 
may receive on an out-of-network basis, including 
whether or not annual physicals and health 
screenings are available out-of-network; and 

(5) instructions for submittal of claims for out-of- 
network covered services. 

Histoiy Note: Auihorit}- G.S. 58-2-40: 58-3-191 ih): 5H-50- 

56: 

Temporary AJoplioii Eff. January I. 1998: 

Eff. Ausust I. 1998. 



13:1 



NORTH CAROLINA REGISTER 



July /, 199H 



73 



APPROVED RULES 



TITLE 15A - DEPARTMENT OF ENVIRONMENT 
AND NATURAL RESOURCES 

CHAPTER 2 - ENVIRONMENTAL MANAGEMENT 

SUBCHAPTER 2D - AIR POLLUTION CONTROL 
REQl'IREMENTS 

SECTION .0100 - DEFINITIONS AND REFERENCES 

.0105 MAILING LIST 

(a) The Di\ ision shall de\elop and maintain a mailing list 
of persons who ha\e requested notitTcation of rule-making as 
required by 1 50B-2 1 .2(b). Such persons shall receive a copy 
of the complete notice as filed with the Office of 
Administrati\e Hearings. 

(b) An\' person requesting to be on a mailing list 
established under Paragraph (a) of this Rule shall submit a 
written request to the Air Qualit> Division. PO Box 29580. 
Raleigh. North Carolina. 27626. Pa\ment of fees required 
under this Section ma> be b> check or mone\ order for thirty 
dollars (S30.00) made pa\able to the Department of 
Environment and Natural Resources. Pa\ment shall be 
submitted with each request and received b\ June 1 of each 
\ear. The fee covers from July 1 to June 30 of the following 
_\ ear. 

Historx Note: Aiiflioriir G.S. N3-215.3UVI 1 ): 

I50B-21.2(bl: 

Eff. April 1. 1995: 

Amended Eff. July L 1998: Mtiy 1 . 1 998. 

SECTION .0500 - EMISSION CONTROL 
STANDARDS 

.0535 EXCESS EMISSIONS REPORTING AND 
MALFUNCTIONS 

(a) For this Rule the follow ing definitions appK : 

(1) "Excess Emissions" means an emission rate that 
exceeds an> applicable emission limitation or 
standard allowed b\ an\ rule in Sections .0500. 
.0900. .1200. or .1400 of this Subchapter: or by a 
pemiit condition; or that exceeds an emission limit 
established in a permit issued under 1 5A NC.AC 20 
.0700. 

(2) "Malfunction" means an_\ unavoidable failure of air 
pollution control equipment, process equipment, or 
process to operate in a nomial and usual manner 
that results in excess emissions. Excess emissions 
during periods of routine start-up and shut-down of 
process equipment shall not be considered a 
malfunction. Failures caused entireK or in part b\ 
poor maintenance, careless operations or an\ other 
upset condition within the control of the emission 
source shall not be considered a malfunction. 

(3) "Start-up" means the commencement of operation 
of an\ source that has shut-down or ceased 



operation for a period sufficient to cause 
temperature, pressure, process, chemical, or a 
pollution control device imbalance that would 
result in excess emission. 
(4) "Shut-down" means the cessation of the operation 
of an\ source for any purpose. 

(b) This Rule does not apply to sources to which Rules 
.0524. .1110. or .1111 of this Subchapter applies unless 
excess emissions exceed an emission limit established in a 
permit issued under 15A NCAC 2Q .0700 that is more 
stringent than the emission limit set by Rules .0524. .1 1 10 or 
.1111 of this Subchapter. 

(c) Any excess emissions that do not occur during start-up 
or shut-down shall be considered a violation of the appropriate 
rule unless the owner or operator of the source of excess 
emissions demonstrates to the Director, that the excess 
emissions are the result of a malfunction. To determine if the 
excess emissions are the result of a malfunction, the Director 
shall consider, along w ith an\ other pertinent infonnation. the 
following: 

( 1 ) The air cleaning de\ ice. process equipment, or 
process has been maintained and operated, to the 
maximum extent practicable, consistent w ith good 
practice for minimizing emissions: 

(2) Repairs ha\e been made expeditiousK when the 
emission limits ha\e been exceeded: 

(3) The amount and duration of the excess emissions, 
including an_\ b\pass. ha\e been minimized to the 
maximum extent practicable; 

(4) .All practical steps ha\e been taken to minimize the 
impact of the excess emissions on ambient air 
quality: 

(5) The excess emissions are not part of a recurring 
pattern indicati\e of inadequate design, operation, 
or maintenance; 

(6) The requirements of Paragraph (0 of this Rule have 
been met: and 

(7) If the source is required to ha\e a malfunction 
abatement plan, it has followed that plan. 

All malfunctions shall be repaired as expeditiousK as 
practicable. Howe\er. the Director shall not excuse excess 
emissions caused b> malfunctions from a source for more than 
15 percent of the operating time during each calendar Near. 
The Director may require the owner or operator of a facilit> to 
maintain records of the time that a source operates when it or 
its air pollution control equipment is malfunctioning or 
otherwise has excess emissions. 

(d) All electric utility boiler units shall have a malfunction 
abatement plan approved b> the Director as satisfying the 
requirements of Subparagraphs (1) through (3) of this 
Paragraph. In addition, the Director ma\ require an\ other 
source to ha\ e a malfunction abatement plan appro\ ed b\ the 
Director as satisfying the requirements of Subparagraphs ( I ) 
through (3) of this Paragraph. If the Director requires a 
malfunction abatement plan for a source other than an electric 
utilir\ boiler, the owner or operator of that source shall submit 
a malfunction abatement plan within 60 da_\s after receipt of 
the Director's request. The malfunction plans of electric 



74 



NORTH CAROLI\:4 REGISTER 



July L 1998 



13:} 



L l lllMm.H4MWIUimilBlH 



APPROVED RULES 



utilin boiler units and of other sources required to have them 
shall be implemented when a malfunction or other breakdown 
occurs. The purpose of the malfunction abatement plan is to 
prevent, detect, and correct malfunctions or equipment failures 
that could result in excess emissions. A malfunction 
abatement plan shall contain as a minimum: 

( 1 ) a complete pre\ enti\e maintenance program 
including; 

( A ) the identification of individuals or positions 
responsible for inspecting, maintaining and 
repairing air cleaning devices; 

(B) a description of the items or conditions that 
will be inspected and maintained; 

(C) the frequency of the inspection, maintenance 
serv ices, and repairs; and 

(D) an identification and quantities of the 
replacement parts that shall be maintained in 
inventor}' for quick replacement; 

(2) an identification of the source and air cleaning 
operating variables and outlet variables, such as 
opacitv. grain loading, and pollutant concentration, 
that ma> be monitored to detect a malfunction or 
failure: the normal operating range of these 
variables and a description of the method of 
monitoring or sur\eillance procedures and of 
informing operating personnel of an\ malfunctions, 
including alarm s\ stems, lights or other indicators: 
and 

(3) a description of the corrective procedures that the 
owner oi' operator will take in case of a malfunction 
or failure to achieve compliance with the applicable 
rule as expeditiousK as practicable but no longer 
than the ne.xt boiler or process outage that would 
provide for an orderly repair or correction of the 
malfunction or 15 da\s. whichever is shorter. If the 
owner or operator anticipates that the malfunction 
v\ould continue for more than 1 5 da\ s. a case-b\- 
case repair schedule will be established b\ the 
Director w ith the source. 

The owner or operator shall maintain logs to show that the 
operation and maintenance parts of the malfunction abatement 
plan are implemented. These logs shall be subject to 
inspection bv the Director or his designee upon request during 
business hours. 

(e) Theowner or operator of an\ electric utility boiler unit 
required to ha\e a malfunction abatement plan shall submit a 
malfunction abatement plan to the Director w ithin 60 days of 
the effective date of this Rule. The owner or operator of an\ 
other source required by the Director to have a malfunction 
abatement plan shall submit a malfunction abatement plan to 
the Director w ithin six months after it has been required bv the 
Director. The malfunction abatement plan and any 
amendment to it shall be reviewed b\ the Director or his 
designee. If the plan carries out the objectives described b\ 
Paragraph (d) of this Rule, the Director shall approve it. If the 
plan does not cany out the objectives described b\ Paragraph 
(d) of this Rule, the Director shall disapprove the plan. The 
Director shall state his reasons for his disapproval. The 



person who submits the plan shall submit an amendment to the 
plan to satisfv the reasons for the Director's disapproval 
within a time prescribed by the Director. Any person having 
an approved malfunction abatement plan shall submit to the 
Director for his approval amendments reflecting changes in 
an> element of the plan required by Paragraph (d) of this Rule 
or amendments when requested b\ the Director. The 
malfunction abatement plan and amendments to it shall be 
implemented within 90 davs upon receipt of written notice of 
approval. 

(f) The owner or operator of a source of excess emissions 
that last for more than four hours and that results from a 
malfunction, a breakdown of process or control equipment or 
an\ other abnormal conditions, shall: 

(1) notifv the Director or his designee of any such 
occurrence b\ 9:00 a.m. Eastern time of the 
Division's next business day of becoming aware of 
the occurrence and describe: 

(A) name and location of the facility. 

(B) the nature and cause of the malfunction or 
breakdown. 

(C) the time when the malfunction or breakdown 
is first observed. 

(D) the expected duration, and 

(E) an estimated rate of emissions: 

(2) notifS' the Director or his designee immediateh 
when the corrective measures have been 
accomplished; 

(3) submit to the Director within 15 days after the 
request a written report that inclurl .s; 



name and location of the facility, 
identification or description of the processes 
and control devices involved in the 
malfunction or breakdown, 
the cause and nature of the event, 
time and duration of the violation or the 
expected duration of the excess emission if 
the malfunction or breakdown has not been 
fixed. 

estimated quantity of pollutant emitted, 
steps taken to control the emissions and to 
prevent recurrences and if the malfunction or 
breakdown has not been fixed, steps planned 
to be taken, and 

an> other pertinent infomiation requested bv 
the Director. 
After the malfunction or breakdown has been corrected, the 
Director mav require the owner or operator of the source to 
test the source in accordance with Rule .0501 of this Section 
to demonstrate compliance. 

(g) Start-up and shut-down. Excess emissions during start- 
up and shut-down shall be considered a v iolation of the 
appropriate rule if the owner or operator cannot demonstrate 
that the excess emissions are unavoidable when requested to 
do so b\ the Director. The Director mav specify for a 
particular source the amount, time, and duration of emissions 
allowed during start-up or shut-down. The owner or operator 
shall, to the extent practicable, operate the source and anv 



A) 
(B) 



(C) 
(D) 



(E) 
(F) 



(G) 



13:1 



NORTH CAROLINA REGISTER 



July /, 199H 



75 



APPROVED RILES 



associated air pollution control equipment or monitoring 
equipment in a manner consistent with best practicable air 
pollution control practices to minimize emissions during start- 
up and shut-doun. 

Histon- Note: Authorin- G.S. 143-215. 3(aill ):143- 

215.10'la)(4): 143-215. 'l0~(a/l5): 

Ejf. March 1. 1983: 

Amended Eff. July L 199S: July 1. 1996: October 1. 1991: 

May 1. 1990: .-ipril 1. 19<S6. 

SECTION .1 100 - CONTROL OF TOXIC AIR 
POLLLTANTS 

.1103 DEFINITION 

For the purpose of this Section, the following definitions 
appK: 

( 1 ) "Asbestos" means asbestos fibers as defined in 40 
CFR61.141. 

(2) "CAS Number" means the Chemical Abstract 
Ser\ice registn. number identifying a particular 
substance. 

(3) "Cresol" means o-cresol. p-cresol. m-cresol or an\ 
combination of these compounds. 

(4) "G,-\CT" means an_\ generalK a\ailable control 



technologN emission standard applied to an area 
source or facilir\ pursuant to Section 1 12 of the 
federal Clean Air Act. 

(5) "Hexane isomers except n-hexane" means 2-meth) 1 
pentane. 3-methNl pentane. 2.2-dimeth\l butane. 
2.3-dimethyl butane, or an\ combination of these 
compounds. 

(6) "MACT" means an_\ maximum achie\able control 
technology emission standard applied to a source or 
facility pursuant to Section 1 12 of the federal Clean 
Air Act. 

(7) "Polychlorinated biphen\ Is" means an\ chlorinated 
biphenyl compound or mixture of chlorinated 
biphenyl compounds. 

(8) "Toxic air pollutant" means an\ of those 
carcinogens, chronic toxicants, acute systemic 
toxicants, or acute irritants listed in Rule .1 104 of 
this Section. 

HIstoiySote: Authorin- G.S. 143-213: 143-21 5. 3lail 1 ): 
143B-2H2: S. L 1989. c. 168. s. 45: 
Eff. May 1. 1990: 
Amended Eff: July 1 . 1998. 



.1104 TOXIC AIR POLLUTANT GLIDELINES 

A facility shall not emit an\ of the following toxic air pollutants in such quantities that ma\ cause or contribute be>ond the 
premises (adjacent property boundan. ) to an\ significant ambient air concentration that ma\ ad\ erseK affect human health. In 
determining these significant ambient air concentrations, the Di\ision shall be guided b\ the following list of acceptable ambient 
levels in milligrams per cubic meter at 77' F(25' C) and 20.92 inches (760 mm) of mercur> pressure (except for asbestos): 



Pollutant (CAS Number) 


Annual 
(Carcinogens) 


24-hour 

(Chronic 

Toxicants) 


1-hour 

(.Acute S\stemic 

Toxicants) 


1-hour 
(. Acute 
Irritants) 


acetaldeh\de (75-07-0) 








-1 1 


acetic acid (64- lQ-7) 








"; -7 


acrolein (107-02-8) 








0.08 


aci-\lonitrile( 107-13-1 ) 


1.5 X l()-4 








ammonia (7664-41-7) 








"1 "I' 


ammonium chromate (7788-98-9) 




6.2 X 10" 






ammonium dichromate 
("789-09-5) 




6.2 X 10-' 






aniline (62-53-3 i 






1 




arsenic and inorganic 
arsenic compounds 


2.3 X 10" 








asbestos (1332-2 1-4) 


2.8 X 10'' 
fibers ml 








aziridine ( 151-56-4) 




0.006 







76 



NORTH CAROLIXA REGISTER 



July I. 1998 



13:1 



wtaieesssmmmammmmsm 



APPROVED RULES 



Pollutant (CAS Number) 


Annual 
(Carcinogens) 


24-hour 

(Chronic 

Toxicants) 


1-hour 

(Acute Systemic 

Toxicants) 


1-hour 
(Acute 
Irritants) 


benzene (71-43-2) 


1.2 X lO"-* 








benzidine and salts (92-87-5) 


1.5x10-^ 








benzo(a)pvrene (50-32-8) 


3.3 X 10' 








benzvl chloride (100-44-7) 






0.5 




ber\ Ilium (7440-41-7) 


4.1 X 10" 








ber\'llium chloride (7787-47-5) 


4.1 X 10-" 








ber\1lium fluoride (7787-49-7) 


4.1 X 10" 








berv Ilium nitrate ( 1 3597-99-4) 


4.1 X 10" 








bis-chlorometli, 1 ether (542-88-1 ) 


3.7 X 10-^ 








bromine (7726-95-6) 








0.2 


1.3-butadiene( 106-99-0) 


1.7 X 10-* 








cadmium (7440-43-9) 


5.5 X 10" 








cadmium acetate (543-90-8) 


5.5 X 10-" 








cadmium bromide (7789-42-6) 


5.5 X 10" 








calcium chromate ( 13765-19-0) 


8.3 \ 10' 








carbon disulfide (75-15-0) 




0.186 






carbon tetrachloride (56-23-5) 


6.7 X 10-' 








chlorine (7782-50-5) 




0.0375 




0.9 


chlorobenzene( 108-90-7) 




T ") 






chloroform (67-66-3) 


4.3 X 10'- 








chloroprene( 126-99-8) 




0.44 


3.5 




chromic acid (7738-94-5) 




6.2 X iO-" 






chromium (VI) 


8.3 X 10-' 








cresol (1319-77-3) 






-1 -) 




p-dichlorobenzene ( 106-46-7) 








66 


dichloroditluoromethane 
(75-71-8) 




248 






Jichloronuoromethane (75-43-4) 




0.5 






di(2-ethylhexyl)phthalate 

(117-81-7) 




0.03 






dimeth\l sulfate (77-78-1 ) 




0.003 






1.4-dio\ane( 123-91-1) 




0.56 






epichloroh\drin (106-89-8) 


8.3 \ 10-- 








eth\l acetate (141-78-6) 






140 





13:1 



NORTH CAROLINA REGISTER 



July I, 1998 



77 



A 



APPROVED RULES 



Pollutant (CAS Number) 


Annual 
(Carcinogens) 


24-hour 

(Chronic 

Toxicants) 


l-hour 

(Acute S>stemic 

Toxicants) 


1-hour 
(Acute 
irritants) 


eth\lenediamine ( 107-15-3) 




0.3 


2.5 




eth\ lene dibromide (106-93-4) 


4.0 X lO"* 








eth\ lene dichloride ( 1 07-06-2 ) 


3.8 X lO'- 








eth\ lene gKcol monoethyl 
ether (110-80-5) 




0.12 


1.9 




eth\lene oxide (75-21-8) 


2.7 X 10" 








eth\l mercaptan (75-08-1 ) 






0.1 




tluoriLU^ 




0.016 


0.25 




tbmialdeh\de (50-00-0) 








0.15 


hexachloroc\ clopentadiene 

(77-47-4) 




0.0006 


0.01 




hexachlorodibenzo-p-dioxin 
(57653-85-7) 


7.6 X 10' 








n-hexane(l 10-54-3) 




1.1 






hexane isomers except n-hexane 








360 


h\drazine (302-01-2) 




0.0006 






hxdrogen chloride (7647-01-0) 








0.7 


h\drotien c\anide (74-90-8) 




0.14 


1.1 




hydrogen fluoride (7664-39-3) 




0.03 




0.25 


h\drogen sulfide (7783-06-4) 








2.1 


maleicanh\dride( 108-3 1-6) 




0.012 


0.1 




manganese and compounds 




0.03 1 






manganese c\clopentadienyl 
tricarbon\l (12079-65-1) 




0.0006 






manganese tetroxide (131 7-35-7) 




0.0062 






mercurv. alk\l 




0.00006 






mercury. ar>l and inorganic 
compounds 




0.0006 






mercury, \apor (7439-97-6) 




0.0006 






meth\l chloroform (71-55-6) 




12 




245 


meth\lene chloride (75-09-2) 


2.4 X 10'= 




I.:' 




meth\ 1 eth\ 1 ketone ( 78-93-3 ) 




3.7 




88.5 


meth\l isobut\l ketone 
(108-10-1) 




2.56 




30 


meth\l mercaptan (74-93-1 ) 






0.05 





78 NOR TH CAROL L\A REGIS TER 



Jiilv /, 199H 



L^.I 



APPROVED RILES 



Pollutant (CAS Number) 


Annual 
(Carcinogens) 


24-hour 

(Chronic 

Toxicants) 


1-hour 

(Acute Systemic 

Toxicants) 


1-hour 
(Acute 
Irritants) 


nickel carbonyl (13463-39-3) 




0.0006 






nickel metal (7440-02-0) 




0.006 






nickel, soluble compounds, 
as nickel 




0.0006 






nickel subsulfide ( 1 2035-72-2) 


2.1 \ 10' 








nitric acid (7697-37-2) 








1 


nitrobenzene (98-95-3) 




0.06 


0.5 




N-nitrosodimethylamine 

(62-75-9) 


5.0 X 10-' 








pentachlorophenol (87-86-5) 




0.003 


0.025 




perchloroethvlene ( 1 27-18-4) 


1.9x 10' 








phenol (108-95-2) 






0.95 




phosgene (75-44-5) 




0.0025 






phosphine (7803-5 1-2) 








0.13 


polychlorinated biphenyls 

(1336-36-3) 


8.3 X 10' 








potassium chromate (7789-00-6) 




6.2 X 10' 






potassium dichromate 
(7778-50-9) 




6.2 X 10'^ 






sodium chromate (7775-1 1-3) 




6.2 X 10" 






sodium dichromate ( 1 0588-0 1 -9) 




6.2 X 10" 






strontium chromate (7789-06-2) 


8.3 X 10" 








snrenel 100-42-5) 






10.6 




sulfuric acid (7664-93-9) 




0.012 


0.1 




tetrachlorodibenzo-p-dio\in 
(1746-01-6) 


3.0 X 10' 








l.l.l.2-tetrachloro-2.2.- 
dinuoroethane(76-l 1-9) 




52 






l.t.2.2-tetrachloro-1.2- 
difluoroethane (76-12-0) 




52 






1 . 1 .2,2-tetrachloroethane 

(79-34-5) 


6.3 X 10" 








toluene (108-88-3) 




4.7 




56 


toluene diisoc\anate. 2.4- (584- 
84-9) and 2.6- (91-08-7) isomers 




0.0002 






trichloroeth\lene (79-01-6) 


5.9 X 10- 









13:1 



NORTH CAROLINA REGISTER 



July /, 199H 



79 



APPROVED RULES 



Pollutant (CAS Number) 


Annual 
(Carcinogens) 


24-hour 

(Chronic 

Toxicants) 


l-hour 

(Acute S\stemic 

Toxicants) 


I -hour 
(Acute 
Irritants) 


trichlorofluoroniethane (75-(iO-4) 




560 






lJ.2-trichloro- 1.2.2- 
tritluoroethane (76-13-1 ) 








950 


vin\l chloride (7,^-01-4) 


3.8 X 10-' 








\in_\lidene chloride (7.^-35-4) 




0.12 






\vlene( 1330-20-7) 




-> 7 




65 


zinc chromate ( 1 3.^30-65-9 1 


8.3 X 10" 









Histon Note: Aiiihoriiy G.S. 143-21 5. SlcDIl): !-l3-2L\ 10'(al(3).(-l).(5): 1438-282: S.L. 1989. c. 168. s. 45: 

Eff. May 1. 1990: 

.Amended EtlJiih- 1. 1998: September 1. 1992: Mareb 1. 1992. 



.1106 DETERMINATION OF AMBIENT AIR 
CONCENTRATION 

(a) Modeling shall not be used for enforcement. Modeling 
shall be used to detemiine process operational and air 
pollution control parameters and emission rates for toxic air 
pollutants to place in the air quality pennit for that facilit> that 
will pre\ent an> of the acceptable ambient levels in Rule 
.1104 of this Section from being exceeded, with such 
exceptions as max be allowed under 15A NCAC 20 .0700. 
Enforcing these pemiit stipulations and conditions shall be the 
mechanism used to ensure that the requirements of Rule .1 104 
of this Section, with such exceptions as ma\' be allowed b> 
1 5 A NCAC 20 .0700. are met. 

(b) The owner or operator of the facilit> ma\ request the 
Di\ ision to perform a modeling analysis of the facilits or 
pro\ ide the anahsis himself If the owner or operator of the 
facility requests the Division to perfomi the modeling 
anahsis. he shall pro\ ide emissions rates, stack parameters, 
and other information that the Division needs to do the 
modeling. The data that the owner or operator of the facilitv 
provides the Div ision to use in the model or in deriv ing the 
data used in the model shall be the process, operational and air 
pollution control equipment parameters and emission rates that 
will be contained in the facilitv's permit. If the Division's 
initial reviev\ of the modeling request indicates extensive or 
inappropriate use of state resources or if the Division's 
modeling anahsis fails to show compliance with the 
acceptable ambient levels in Rule .1 104 of this Section, the 
modeling demonstration becomes the responsibilitv of the 
owner or operator of the facilitv . 

(c) When the owner or operator of the facilitv is 
responsible for providing the modeling demonstration and the 
data used in the modeling, the owner or operator of the facilitv 
shall use in the model or in deriv ing data used in the model the 
process operational and air pollution control equipment 
parameters and emission rates that will be contained in his 
permit. Sources that are not required to be included in the 



model will not be included in the permit to emit toxic air 
pollutants. 

(d) For the following pollutants, modeled emission rates 
shall be based on the highest emissions occurring in anv single 
15 minute period. The resultant modeled 1-hour 
concentrations shall then be compared to the applicable I -hour 
acceptable ambient levels to determine compliance. These 
pollutants are: 



(I) 
(2) 
(3) 
(4) 
(5) 
(6) 
(7) 
(8) 
(9) 
(10) 



acetaldehvde (75-07-0) 
acetic acid (64-19-7) 
acrolein (107-02-8) 
ammonia (7664-41-7) 
bromine (7726-95-6) 
chlorine (7782-50-5) 
formaldehvde (50-00-0) 
hvdrogen chloride (7647-01-0) 
hvdrogen fluoride (7664-39-3) 
nitric acid (7697-37-2) 

(e) The owner or operator of the facilitv and the Division 
ma\ use an\ model allowed b\ 40 CFR 51.166(1) provided 
that the model is appropriate for the facilit> being modeled. 
The owner or operator or the Div ision mav use a model other 
than one allowed bv 40 CFR 51.166(1) provided that the 
Director detemiines that the model is equiv alent to the model 
allowed bv 40 CFR 51.166(1). Regardless of model used, the 
owner or operator and the Division shall model for cavitv 
effects and shall comph with the modeling requirements for 
stack height set out in Rule .0533 of this Subchapter. 

(f) Ambient air concentrations are to be evaluated for 
annual periods over a calendar v ear. for 24-hour periods from 
midnight to midnight, and for one-hour periods beginning on 
the hour. 

(g) The owner or operator of the facilitv shall identify each 
toxic air pollutant emitted and its corresponding emission rate 
using mass balancing anahsis. source testing, or other 
methods that the Director mav approve as providing an 
equiv alently accurate estimate of the emission rate. 



SO 



NORTH CAROLINA REGISTER 



July 1. I99S 



13:1 



LiuimiMuiiugta 



APPROVED RULES 



(h) The owner or operator of the facilit> shall submit a 
modeling plan to the Director and shall ha\e recei\ ed approval 
of that plan from the before submitting a modeling 
demonstration to the Director. The modeling plan shall 
include: 

( 1 ) a diagram of the plant site, including locations of all 
stacks and associated buildings; 

(2) on-site building dimensions; 

(3) a diagram showing propert\ boundaries, including 
a scale. keN and north indicator: 

(4) the location of the site on a United States 
Geological Sur\ey (USGS) map; 

(5) discussion of good engineering stack height and 
building \\ake effects for each stack: 

(6) discussion of cavitv' calculations, impact on rolling 
and complex terrain, building wake effects, and 
urban rural considerations: 

(7) discussion of reasons for model selection: 

(8) discussion of meteorological data to be used: 

(9) discussion of sources emitting the pollutant that are 
not to be included in the model w ith an explanation 
of \\h> the\ are being excluded (i.e. \\h> the source 
will not affect the modeling analysis); and 

(10) an\ other pertinent information. 

HIston- Xote: Authority G.S. 143-21 5 Jialll i: 143- 
:i5.10'(a)(3l.(5l: 143B-2S:: S.L. 1989. c. 168. s. 45: 
Ejf.Mayl. 1990: 
Amended Eff.Juh 1. 1998. 

SUBCHAPTER 2Q - AIR QUALITY PERMIT 
PROCEDURES 

SECTION .0700 - TOXIC AIR POLLUTANT 
PROCEDURES 

.0701 APPLICABILITY 

(a) W ith the exceptions in Rule .0702 of this Section, no 
person shall cause or allow an\ toxic air pollutant named in 
15A NCAC 2D .1 104 to be emitted from an\ facilit\ into the 
atmosphere at a rate that exceeds the applicable rate(s) in Rule 
.071 1 of this Section without having received a permit to emit 
toxic air pollutants as follows: 

(1) new facilities according to Rule .0704 of this 
Sectior 

(2) existing facilities according to Rule .0705 of this 
Section: 

(3) modifications according to Rule .0706 of this 
Section. 

(b) Within one \ ear after pronuilgation of MACT standards 
for the industrial boilers, commercial/institutional boilers, 
process heaters. stationar\ combustion turbines and stationary 
internal combustion engines source categories under Section 
112(d) of the Clean Air Act that are applicable to combustion 
sources as defined in Rule .0703 of this Section, the Di\ ision 
shall assess such MACT standards to determine whether 
additional measures are necessary with respect to toxic air 
pollutant emissions from combustion sources. L'pon 



completion of this determination, the Commission shall 
proceed through nonnal rulemaking procedures, if necessar}, 
to implement additional measures. 

(c) Facilities required to compK' with MACT standards 
under 15A NCAC 2D .1 109. .1 1 1 1, or .1 1 12 or 40 CFR Part 
63 shall be deemed in compliance with this Subchapter and 
15A NCAC 2D .1100 unless the Division determines that 
modeled emissions result in one or more acceptable ambient 
levels in 15A NCAC 2D .1 104 being exceeded. This review 
shall be made according to the procedures in 1 5A NCAC 2D 
.1106. Once a facility demonstrates compliance with the 
acceptable ambient levels in 15A NCAC 2D .1104. future 
demonstrations shall onl\ be required on a tne->ear basis. 

HistonNoie: Authority G.S. 143-215. 3ia/(l ): 143- 
215.108: 143B-282: S. L. 1989. c. 168. s. 45: 
Rule orisiiiallr codified as part of l5A NCA C 2H .0610: 
Eff.Julvl, 1998. 

.0702 EXEMPTIONS 

(a) A pennit to emit toxic air pollutants shall not be 
required under this Section for: 

( 1 ) residential wood sto\ es. heaters, or fireplaces: 

(2) hot water heaters that are used for domestic 
purposes onK and are not used to heat process 
water; 

(3) maintenance, structural changes, or repairs that do 
not change capacity of that process, fuel-burning. 
refuse-burning, or control equipment, and do not 
involve an\ change in qualitv or nature or increase 
in quantit} of emission of an\ regulated air 
pollutant or toxic air pollutant; 

(4) housekeeping activities or building maintenance 
procedures. including painting buildings. 
resurfacing floors, roof repair, washing, portable 
vacuum cleaners, sweeping, use and associated 
storage of janitorial products, or non-asbestos 
bearing insulation removal; 

(5) use of office supplies, supplies to maintain copying 
equipment, or blueprint machines: 

(6) pa\ing parking lots: 

(7) replacement of existing equipment with equipment 
of the same size. type, and function that does not 
result in an increase to the actual or potential 
emissions of an\ regulated air pollutant or toxic air 
pollutant and that does not affect compliance status 
and. with replacement that fits the description of the 
existing equipment in the permit, including the 
application, such that the replacement equipment 
can be operated under that pennit without an> 
changes to the pennit: 

(8) comfort air conditioning or comfort \entilalion 
SN stems that does not transport, remove, or exhaust 
regulated air pollutants to the atmosphere: 

(9) equipment used for the preparation of food for 
direct on-site human consumption: 

(10) non-selt-propelled non-road engines, except 
generators, regulated b\ rules adopted under Title 



13:1 



NORTH CAROLINA REGISTER 



Jitlv 1, 1998 



HI 



APPROl ED RULES 



II of the federal Clean Air Act; 

(11) stacks or vents to prevent escape of sewer gases 
from domestic waste through plumbing traps; 

(12) use of tire fighting equipment; 

(13) the use for agricultural operations by a fanner of 
fertilizers, pesticides, or other agricultural 
chemicals containing one or more of the 
compounds listed in 15A NCAC 2D .1 104 if such 
compounds are applied according to agronomic 
practices acceptable to the North Carolina 
Department of Agriculture and the Commission; 

(14) asbestos demolition and renovation projects that 
comply with 15A NCAC 2D .1110 and that are 
being done b\ persons accredited b> the 
Department of Health and Human Services under 
the Asbestos Hazard Emergenc\ Response Act; 

(15) farm and pet incinerators used onK to dispose of 
dead animals as identified in 15A NCAC 2D 
.1201(d) and (e); 

(16) refrigeration equipment that is consistent with 
Section 601 through 618 of Title VI (Stratospheric 
Ozone Protection) of the federal Clean Air Act, 40 
CFR Part 82. and any other regulations 
promulgated b\ EPA under Title VI for 
stratospheric ozone protection, except those units 
used as or with air pollution control equipment; 

( 1 7) laboratory activities: 

(A) bench-scale, on-site equipment used 
exclusiveh for chemical or physical analysis 
for quality control purposes, staff 
instruction, water or wastew ater analyses, or 
non-production environmental compliance 
assessments; 

(B) bench scale experimentation, chemical or 
phvsical analyses, training or instruction 
from nonprofit, non-production educational 
laboratories; 

(C) bench scale experimentation, chemical or 
physical analyses, training or instruction 
from hospital or health laboratories pursuant 
to the determination or diagnoses of 
illnesses; and 

(D) research and development laboratory 
acti\ities that are not required to be 
peimitted under Section .0500 of this 
Subchapter provided the activity produces no 
commercial product or feedstock material; 

(18) combustion sources as defined in 15 NCAC 20 
.0703 until 18 months after promulgation of the 
MACT or G ACT standards for combustion sources. 
(Within 18 months following promulgation of the 
MACT or G ACT standards for combustion sources, 
the Commission shall decide whether to keep or 
remove the combListion source exemption. If the 
Commission decides to renio\e the exemption, it 
shall initiate rulemaking procedures to remo\e this 
exemption.) 

(19) storage tanks used onK to store: 



(20) 
(21) 
(22) 



(23) 



(24) 



(A) inorganic liquids with a true vapor pressure 
less than 1.5 pounds per square inch 
absolute; 

(B) fuel oils, kerosene, diesel. crude oil. used 
motor oil, lubricants, cooling oils, natural 
gas, liquefied petroleum gas, or petroleum 
products with a true vapor pressure less than 
1 .5 pounds per square inch absolute; 

dispensing equipment used soleK' to dispense diesel 
fuel, kerosene, lubricants or cooling oils; 
portable solvent distillation systems that are 
exempted under 1 5 A NCAC 20 -0 1 02(b)( 1 )( I ); 
processes: 

(A) small electric motor bum-out ovens with 
secondary combustion chambers or 
afterbumers; 

(B) small electric motor bake-on ovens; 

(C) burn-off ovens for paint-line hangers with 
afterburners; 

(D) hosieiA knitting machines and associated lint 
screens, hosiery dryers and associated lint 
screens, and hosier d\eing processes w here 
bleach or solvent dyes are not used; 

(E) blade wood planers planing onK' green 
wood; 

(F) saw mills that saw no more than 2,000,000 
board feet per \ear pro\ ided onK green 
wood is sawed; 

(G) perchloroethylene dry cleaning processes 
with 12-month rolling average consumption 
of: 

(i) less than 1366 gallons of 
perchloroethylene per year for 
facilities with dry-to-dn machines 
only; 
(ii) less than 1171 gallons of 
perchloroethylene per year for 
facilities with transfer machines only; 
or 
(iii) less than 1171 gallons of 
perch loroethvlene per \ear for 
facilities with both transfer and dry- 
to-dry machines; 
gasoline dispensing facilities or gasoline ser\ice 
station operations that compK v\ith 15A NCAC 2D 
.0928 and .0932 and that receive gasoline fi^om bulk 
gasoline plants or bulk gasoline terminals that 
compK with 15A NCAC 2D .0524, .0925, .0926, 
.0927, .0932, and .0933 via tank trucks that comply 
with 15A NCAC 2D .0932; 
the use of etlniene oxide as a sterilant in the 
production and subsequent storage of medical 
de\ ices or the packaging and subsequent storage of 
medical devices for sale if the emissions from all 
new and existing sources at the facilit\ described in 
15A NCAC 2D^. 0538(d) are controlled at least to 
the degree described in 15A NCAC 2D .0538(d) 
and the facilitv complies with 15A NCAC 2D 



82 



NORTH CAROLISA REGISTER 



July /, 1998 



J 3:1 



BTIIWUHllJWmillHllllliBHIII WWmilMUIUJU I I 



APPROVED RULES 



.0538(e) and (f); 

(25) bulk gasoline plants, including the storage and 
handling of fuel oils, kerosenes, and Jet fuels but 
excluding the storage and handling of other organic 
liquids, ^hat compFy with 15A NCAC 2D .0524, 
.0925. .0926. .0932. and .0933; unless the Director 
finds that a permit to emit toxic air pollutants is 
required under this Section for a particular bulk 
gasoline plant; or 

(26) bulk gasoline terminals, including the storage and 
handling of fuel oils, kerosenes, and Jet fuels but 
excluding the storage and handling of other organic 
liquids, that comply with 15A NCAC 2D .0524. 
.0925. .0927. ,0932. and .0933 if the bulk gasoline 
terminal existed before November 1. 1992; unless: 

(A) the Director finds that a pemiit to emit toxic 
air pollutants is required under this Section 
for a particular bulk gasoline terminal, or 

(B) the owner or operator of the bulk gasoline 
terminal meets the requirements of 15A 
NCAC 2D .0927(i). 

(b) Emissions from the activities identified Subparagraphs 
(a)(23) through (a)(26) of this Rule shall be included in 
determining compliance with the toxic air pollutant 
requirements in this Section and shall be included in the 
pennit if necessan. to assure compliance. 

(c) The addition or modification of an activity identified in 
Paragraph (a) of this Rule shall not cause the source or facility 
to be evaluated for emissions of toxic air pollutants. 

(d) Because an activity is exe; .pted from being required to 
have a pennit does not mean that the activity is exempted from 
any applicable requirement or that the owner or operator of the 
source is exempted from demonstrating compliance vsith any 
applicable requirement. 

History Sate: Author it}- G.S. I -13-2 1 5. 3 (a) (I): 143- 
2 1 5. 1 OH: 143B-282: S.L 1989. c. 168. s. 45: 
Rule orisinallx codified as part of 15.4 NCA C 2H .061 0: 
Eff.Juh 1. 1998. 

.0705 EXISTING FACILITIES AND SIC CALLS 

(a) This Rule applies onK to facilities that were in 
operation or permitted to construct before October 1. 1993 and 
new facilities subject to Rule .0704(c) of this Section. 

(b) For sources at a facilit\ subject to a MACT or GACT 
standard, or that may be subject to a MACT or GACT 
standard based on studies required by Section 1 12(n)(l ) of the 
Clean Air Act. 42 U.S.C. Section 7412(nH 1 ). the owner or 
operator of the facilit\' shall comply with I5A NCAC 2D 
.1100 as follows: 

( 1 ) When the owner or operator submits a permit 
application to compK with the last MACT or 
GACT. excluding the MACT or GACT for 
combustion sources, known to appK to the facilit\. 
he shall also submit a permit application to compl\ 
with 15A NCAC 2D .1100. The facility shall 
comply with 15A NCAC 2D .1100 by the same 
deadline that it is required to comply with the last 



MACT or GACT. 

(2) If the owner or operator does not have to submit a 
permit application to comply with the last MACT or 
GACT. excluding the MACT or GACT for 
combustion sources, he shall submit a permit 
application to comply with 15A NCAC 2D .1 100 
within six months after the promulgation of the last 
MACT or GACT, excluding the MACT or GACT 
for combustion sources, known to apply to the 
facility or by January I. 1999. whichever is later. 
The facility shall comply with 15A NCAC 2D 
.1 100 b\ the same deadline that it is required to 
comply w ith the last MACT or GACT. 

(3) If the owner or operator submitted a permit 
application for the last MACT or GACT, excluding 
the MACT or GACT for combustion sources, 
known to apply to the facility before July 1, 1998, 
he shall submit a permit application to comply with 
15A NCAC 2D .1100 by January 1, 1999. The 
facility shall comply with 15A NCAC 2D .1 100 
within three years from the date that the permit is 
issued. 

The pennit application shall include an evaluation for all toxic 
air pollutants covered under I5A NCAC 2D .1104 for all 
sources at the facility, excluding those sources exempt from 
evaluation under Rule .0702 of this Section. The owner or 
operator of a facility whose actual rate of emissions from all 
sources are not greater than the toxic pennitting emissions 
rates listed in Rule .071 1 of this Section does not have to file 
a permit application to comply with 15A NCAC 2D .1 100. 
He shall provide documentation that the facility's emissions 
of toxic air pollutants are below the levels in Rule .071 1 of 
this Section if the Director requests this documentation. 

(c) For facilities that will not be subject to a MACT or 
GACT standard, or that will be subject only to a MACT or 
GACT standard for unadulterated fuel combustion sources, 
the owner or operator of the facility shall ha\e 180 days to 
apply for a pemiit or pennit modification for the emissions of 
toxic air pollutants after recei\ ing v\Titten notification from the 
Director that such permit or permit modification is required. 
The permit application shall include an evaluation for all toxic 
air pollutants covered under 15A NCAC 2D .1 104 for all 
sources at the facility, excluding sources exempt from 
evaluation in Rule .0702 of this Section. Such facilities shall 
compK with 1 5 A NCAC 2D . 1 1 00 within three v ears from the 
date that the pennit is issued. The Director shall notify 
facilities subject to this Paragraph by calling for permit 
applications based on standard industrial classifications, that 
is. the Director shall call at one time for pemiits for all 
facilities statewide that have the same four-digit standard 
industrial classification code, except those facilities in 
certified local air pollution control agency areas. (Local air 
pollution control agencies shall call the standard industrial 
classification code within theirjurisdiction when the Director 
calls that code. A local air pollution control agency may call 
a particular standard industrial classification code before the 
Director calls that code if the Commission approves the call 
by the local air pollution control agency. In deciding if it shall 



13:1 



NORTH CAROLINA REGISTER 



July /. 1998 



83 



APPROV ED RULES 



grant periiiission to a local air pollution control agencs to call 
a particular standard industrial classification code before the 
Director calls that code, the Commission shall consider if the 
call is necessapi to protect human health or to allow the local 
program to better implement these Rules in its jurisdiction.) 
Facilities with sources that will be subject to MACT that 
receive an SIC call shall notif\ the Director and shall compK 
with 15 NCAC 2D .11 00 in accordance with Paragraph (b) of 
this Rule. All sources, regardless of their standard industrial 
classification code, excluding sources exempt from e\aluation 
in Rule .0702 of this Section, at the facilit\ shall be included 
in the call for permit applications. When the Environmental 
Protection Agenc\ (EPA) promulgates MACT under Section 
1 12(e) of the federal Clean Air Act. excluding cooling towers, 
the Director shall notitS the owners or operators of facilities 
in the standard industrial classification that best corresponds 
to the M.ACT categorx that the\ are required to submit a 
permit application for the emissions of toxic air pollutants 
from their facilities. If the EPA fails to promulgate a MACT 
as scheduled, the Director shall notif\' the owners or operators 
of facilities 18 months after the missed promulgation date that 
the\ are required to submit a pennit application for the 
emissions of toxic air pollutants from their facilities. The 
owner or operator of a facilit> whose actual rate of emissions 
from all sources are not greater than the toxic permitting 
emissions rates listed in Rule .071 1 of this Section does not 
ha\e to tile a pemiit application to compK with 15.A NC.^C 
2D .11 00. He shall pro\ide documentation that the facility's 
emissions of toxic air pollutants are below the levels in Rule 
.0711 of this Section if the Director requests this 
documentation. The Director ma\ request this documentation 
if he finds that the facilitx 's potential emissions of toxic air 
pollutants are abo\e the le\els in Rule .071 1 of this Section, 
(d) The owner or operator of a facilit\ ma\ request a pemiit 
to emit toxic air pollutants an_\ time before such application is 
required. The permit application shall include an e\aluation 
for all toxic air pollutants co\ ered under 1 ."^.A NCAC 2D . 1 1 04 
for all sources at the facility, excluding sources exempt from 
evaluation in Rule .0702 of this Section. 

History- \ote: Amhorin- G.S. 143-21 5Jia)(I I: 143- 
215.108: 143B-2<S2: S.L 1989. c. 168. s. 45: 
Rule on'slnallv codified us_ pan of 15.4 .\C.4C 2H .0610: 
Ejl .Mx L l')98. 

.0707 PREVIOUSLY PERMITTED FACILITIES 

An\ facilitN w ith a permit that contains a restriction based 
on the evaluation of a source exempted under Rule .0702 of 
this Section ma\ request a permit modification to adjust the 
restriction b\ removing from consideration the portion of 
emissions resulting from the exempt source unless the 
Director determines that the removal of the exempt source will 
result in an acceptable ambient level in 15,A NCAC 2D .1 104 
being exceeded. The Director shall modifv the permit to 
remove the applicabilitv of the air toxic rules to the exempt 
source. No fee shall be charged solelv for such permit 
modification. 



Hi.s!oiy \ote: .Authonty U.S. 143-215. 3lal( 1 1: 143- 
215.108: 143B-282: S.L 1989. c. 168. s. 45: 
Rule orisinallv codified as part of 15.4 .\'C.4C 2H . 0610: 
Eff My 1. 1998. 

.0708 COMPLIANCE SCHEDULE FOR 

PREVIOUSLY UNKNOWN TOXIC AIR 
POLLUTANT EMISSIONS 

(a) The owner or operator of a facilitv permitted to emit 
toxic air pollutants shall submit a permit application v\ ithin six 
months after the ow ner or operator learns of an emission of a 
previouslv unknown toxic air pollutant from a permitted 
source that would have been included in the permit when it 
was issued. The application shall include the information 
required bv Paragraph (b) of this Rule. 

(b) When an application to revise a permit is submitted 
under this Rule, the owner or operator shall in addition to the 
application, submit to the Director: 

(1) an evaluation for the pollutant according to this 
Section and L5 NCAC 2D .1 100 that demonstrates 
compliance with the acceptable ambient level in 
15A NCAC 2D. 1104; or 

(2) a compliance schedule containing the infonnation 
required under Paragraph (c) of this Rule for the 
proposed modifications to the facilits required to 
complv w ith the acceptable ambient level according 
to this Section and Section 15.^ NCAC 2Q .1 100. 

(c) The compliance schedule required under Subparagraph 
(b)(2) of this Rule shall contain the follov\ing increments of 
progress as applicable: 

(1 ) a date b_\ which contracts for emission control and 
process equipment shall be avsarded or orders shall 
be issued for the purchase of component parts; 

(2) a date bv which on-site construction or installation 
of the emission control and process equipment shall 
begin; 

(3) a date bv v\hich on-site construction or installation 
of the emission control and process equipment shall 
be completed; and 

(4) the date bv v\hich final compliance shall be 
achieved. 

(d) Final compliance shall be achieved no later than; 

( 1 ) six months after the permit modification or renewal 
is issued if construction or installation of emission 
control or process equipment is not required; 

(2) one vear after the pemiit modification or renewal is 
issued if construction or installation of emission 
control or process equipment is required; or 

(3) the time that is normallv required to construct a 
stack or install other dispersion enhancement 
modifications but not more than one vear after the 
pemiit modification or renewal is issued. 

(e"l The owner or operator shall certifv to the Director 
within 10 days after each applicable deadline for each 
increment of progress required under Paragraph (c) of this 
Rule v\ hether the required increment of progress has been met. 

History Xoie: .4utli'>rit^- G.S. 143-215. 3lai( 1 1: 43- 



84 NOR TH CAROL ISA REGIS TER 

iUiuuiuitutHHBHHinaiiiuunuMJHMiaa 



Jiilv /, 199H 



13:1 



APPROVED RILES 



215.107(a)(3),(5): 143B-282: S.L 1989. c. 168. s. 45: 
Eff.Jidvl. 1998. 

.0709 DEMONSTRATIONS 

(a) Demonstrations. The owner or operator of a source 
who is apph ing for a permit or permit modification to emit 
toxic air pollutants shall: 

( 1 ) demonstrate to the satisfaction of the Director 
through dispersion modeling that the emissions of 
toxic air pollutants from the facility will not cause 
any acceptable ambient level listed in 15A NCAC 
2D . 1 1 04 to be exceeded beyond the premises 
(adjacent property boundary ); or 

(2) demonstrate to the satisfaction of the Commission 
or its delegate that the ambient concentration 
beyond the premises (adjacent property boundan.) 
for the subject toxic air pollutant v\ill not adversely 
affect human health (e.g.. a risk assessment specific 
to the facility ) though the concentration is higher 
than the acceptable ambient level in 1 5 A NCAC 2D 
.1104 by providing one of the following 
demonstrations: 

(A) the area where the ambient concentrations 
are expected to exceed the acceptable 
ambient levels in 15A NCAC 2D .1104 is 
not inhabitable or occupied for the duration 
of the averaging time of the pollutant of 
concern, or 

(B) new toxicological data that show that the 
acceptable ambient level in 15A NCAC 2D 
.1 104 for the pollutant of concern is too low 
and the facility's ambient impact is belou the 
level indicated b\ the new toxicological data. 

(b) Technical Infeasibility and Economic Hardship. This 
Paragraph shall not appK to any incinerator covered under 
1 5 A NCAC 2D . 1 200. The owner or operator of any source 
constructed before Ma\ i. 1990. or a perchloroethvlene dry 
cleaning facility subject to a GACT standard under 40 CFR 
63.320 through 63.325 who cannot supply a demonstration 
described in Paragraph (a) of this Rule shall: 

( 1 ) demonstrate to the satisfaction of the Commission 
or its delegate that complying w ith the guidelines in 
15A NCAC 2D. 1104 is technicallv infeasible (the 
technology necessarv to reduce emissions to a level 
to prevent the acceptable ambient levels in 15A 
NCAC 2D .1104 from being exceeded does not 
exist); or 

(2) demonstrate to the satisfaction of the Commission 
or its delegate that compK ing u ith the guidelines in 
15A NCAC 2D .1104 would result in serious 
economic hardship, (in deciding if a serious 
economic hardship exists, the Commission or its 
delegate shall consider market impact: impacts on 
local, regional and state econom\: risk of closure: 
capital cost of compliance; annual incremental 
compliance cost; and environmental and health 
impacts.) 

If the owner or operator makes a demonstration to the 



satisfaction of the Commission or its delegate pursuant to 
Subparagraphs (1) or (2) of this Paragraph, the Director shall 
require the owner or operator of the source to apply maximum 
feasible control. Maximum feasible control shall be in place 
and operating within three vears from the date that the permit 
is issued for the maximum feasible control. 

(c) Pollution Prevention Plan. The owner or operator of any 
facility using the provisions of Paragraph (a)(2)(A) or 
Paragraph (b) of this Rule shall develop and implement a 
pollution prevention plan consisting of the following 
minimum elements: 

( 1 ) statement of corporate and facility commitment to 
pollution prevention; 

(2) identification of current and past pollution 
prevention activities; 

(3) timeline and strategv for implementation; 

(4) description of ongoing and planned employee 
education efforts; 

(5) identification of internal pollution prevention goal 
selected bv' the facility and expressed in either 
qualitative or quantitative terms. 

The facility shall submit along with the pemiit application the 
pollution prevention plan. The pollution prevention plan shall 
be maintained on site. A progress report on implementation 
of the plan shall be prepared b> the facility annualK and be 
made available to Div ision personnel for rev iev\ upon request. 

(d) Modeling Demonstration. If the owner or operator of 
a facility demonstrates b\ modeling that no toxic air pollutant 
emitted from the facility exceeds the acceptable ambient level 
values gi\en in 15A NCAC 2D .1 104 beyond the facility's 
premises, further modeling demonstration is not required with 
the permit application. However, the Commission may still 
require more stringent emission levels according to its anaKsis 
under 1 5A NCAC 2D .1 107. 

Hi.ston- Note: Authorin- G.S. 143-215. 3(a)(1): 143- 
215.108: 143B-282: S.L 1989. c. 168 s. 45: 
Rule orisinally codifkJ as part of lSA NCAC 2H . 0610: 
Eff.Juhl. 1998 

SUBCHAPTER 2R - WETLANDS RESTORATION 
PROGRAM 

SECTION .0100 - PURPOSE AND DEFINITIONS 

.0101 PURPOSE 

This Section establishes the North Carolina Wetlands 
Restoration Program pursuant to G.S. 143-214.8 through 143- 
214.13. 

Histon-Note: .Authority G.S. 143-214.8: 143-214.9: 143- 

215.3: 

Eff. Ausust 1. 1998. 

.0102 DEFINITIONS 

The definition of any word or phrase used in this 
Subchapter shall be the same as given in G.S. 143. Article 21. 
The follow ing words and phrases, which are not defined b\ 



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85 



APPROVED RILES 



statute, shall be interpreted as tbilous: 

(1) "Mitigation bank" means a site where wetlands or 
other aquatic resources are restored, created, 
enhanced, or preser\ ed e\pressl> for the purpose of 
pro\ iding compensators mitigation in ad\ance of 
authorized impacts to similar resources. 

(2) "Non-riparian wetlands" means Class W'L wetlands 
as defined in I5A NC.'\C 2B .0101(c)(8) whose 
major source of water is precipitation. Wetland 
t>pes generalK considered to be non-riparian 
include wet flats, pocosins and ephemeral wetlands. 

(3 ) "Riparian area" means an area that does not meet 
the definition of wetlands found at 15A NCAC 2B 
.0202 and that is located within 300 feet of an\ 
perennial or intermittent water bod\ as shown by 
the most recentl_\ published \ersion of the United 
States Geological Sur\e\ 1:24.000 (7.5 minute) 
scale topographic map or other site specific data. 

(4) "Riparian wetlands" means Class WL wetlands as 
defined in 15A NCAC 2B .0101(c)(8) whose major 
source of w ater is ground w ater or surface w ater. 
Wetland t>pes generalK considered to be riparian 
include freshwater marshes, swamp forests, 
bottomland hardwood forests, headwater forests, 
bog forests, mountain bogs and seeps. 

Histoiy Xore: Aiithorin- G.S. 1 43-21 4. S: 143-214.9: 143- 

214.11:143-215.3: 

Eff.Aususi I. 1998. 



SECTION .0200 



BASINWTDE RESTORATION 
PLANS 



.0201 PLRPOSE 

The purpose of the Basinwide Restoration Plans is to 
identify wetlands and riparian areas within each of the 17 
major ri\ er basins of the state that ha\ e the potential, through 
restoration, enhancement, creation or preser\ation. to 
contribute to the goals of the Wetlands Restoration Program. 

HisfoiyXote: Aiithohn G.S. 143-214.10: 143-215.3: 
Eff. August 1. 199S. 

.0202 COMPONENTS 

(a) The Basinwide Restoration Plans for each of the 17 
major ri\er basins shall consist of the following components: 

( 1 ) an assessment of the existing wetlands and riparian 
area resources w ithin each basin: 

(2) an assessment of the existing needs of the riser 
basin as identified b\ the Department with input 
from other state and federal agencies, local 
governments, institutions of higher learning, non- 
profit organizations and the general public: 

(3) identification of areas that ha\e the potential, if 
restored or enhanced, to contribute to the goals of 
the Basinwide Restoration Plans; 

(4) identification of wetland and reparian areas that 
ha\e the potential, if preser\ed. to contribute to the 



goals of the Basinwide Restoration Plans: 

(5) prioritization of the areas identified in 
Subparagraphs (3) and (4) of this Paragraph based 
on the area"s abilitx to contribute to the specific 
goals of the Basinw ide Restoration Plans and the 
needs of each riser basin as identified in 
Subparagraph (2) of this Paragraph: and 

(6) an outline of the specific goal to be accomplished 
through implementation of the Basinwide 
Restoration Plan. 

(b) During the period J uK I. 1997 through June 30. 2002. 
the Department ma\ deselop and implement Basinwide 
Restoration Plans that include onh the following information: 

( 1 ) an assessment of the existing needs of the ri\ er 
basin as identified b> the Department with input 
from other state and federal agencies, local 
governments, institutions of higher learning, non- 
profit organizations and the general public; 

(2) identification of areas that ha\e the potential, if 
restored or enhanced, to contribute to the specific 
goals of the Basinwide Restoration Plans: 

(3) prioritization of the areas identified in 
Subparagraph (2) of this Paragraph based on the 
area's abilits to contribute to the goals of the 
Basinwide Restoration Plans and the needs of each 
river basin as identified in Subparagraph (b)( 1 ) of 
this Rule: 

(4) identification of wetland and riparian areas that 
have the potential, if preser\ed. to contribute to the 
goals of the Basinwide Restoration Plans; and 

(5) an outline of the specific goals to be accomplished 
through implementation of the Basinwide 
Restoration Plan. 

Histoiy .\ote: Aurhorin- G.S. 143-214.10: 143-215.3: 
Eff. Aususi 1. 1998. 

.0203 PUBLIC INVOLVEMENT; AVAILABILITY 

(a) The Secretars. or the Secretar\"s designee, shall proside 
interested parties an opportunit> to re\ lew and comment on 
the proposed Basinw ide Restoration Plans. 

(b) The Basinwide Restoration Plans shall be asailable for 
re\ lew in the offices of the W etlands Restoration Program. 
Di\ision of Water Qualirs. 512 North Salisbun. Street. 
Raleigh. NC 27604. 

Histoiy Sore: Aufhoriy G.S 143-214.10: 143-215.3: 
Eff. .August 1 . 1998. 

SECTION .0300 - COMPENSATORY MITIG.ATION 

.0301 GENERAL 

All projects implemented for the purpose of satisfying 
compensator, mitigation requirements of certifications issued 
b\ the Department under 33 USC § 1341; and permits or 
authorizations issued b\ the United States .Ann\- Corps of 
Engineers (Corps) under 33 USC § 1344. shall be consistent 
w ith the Basinw ide Restoration Plan for the appropriate ri\ er 



86 



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APPROVED RILES 



basin. A project is consistent with the Basinwide Restoration 
Plan if the project is located within an area that is identified as 
a priority for restoration in the Basinwide Restoration Plan; or 
is located at a site that is otherwise consistent with the goals 
outlined in the Basinwide Restoration Plan for the appropriate 
river basin; or is approved by the United States Army Corps 
of Engineers. 

Hi^Toiy Note: Authority G.S. 143-214. 11: 143-2 14. 12: 143- 

215.3: 

Eff. August 1. 1998. 

.0302 MITIGATION BANKS 

(a) All sponsors of mitigation banks that submit a 
prospectus to the United States Ann\ Corps of Engineers after 
the effective date of this Rule must provide the Secretan,'. or 
the Secretar\"s designee, documentation that the proposed 
mitigation bank is consistent with the appro\ed Basinwide 
Restoration Plan for the appropriate river basin and meets the 
requirements of G.S. 143-214.1 1(f). A mitigation bank is 
consistent with the Basinwide Restoration Plans if the 
mitigation bank is located w ithin an area that is identified as 
a priorit> for restoration in the Basinw ide Restoration Plan; or 
is located at a site that is otherwise consistent w ith the goals 
outlined in the Basinw ide Restoration Plan for the appropriate 
ri\er basin; or is approved bv the United States Army Corps 
of Engineers. The Secretan.. or the Secretary's designee, shall 
provide comments concerning this documentation through 
participation on the Mitigation Bank Review Team in 
accordance w ith "Federal Guidance for the Establishment. Use 
and Operation of Mitigation Banks." found in Volume 60. 
Number 228 of the Federal Register. No\ ember 28. 1995. 
The signature of the Secretar\. or the Secretary's designee, on 
the Mitigation Banking instrument, described in the above 
guidance, shall be considered as a finding by the Department 
that the mitigation bank is consistent with the Basinwide 
Restoration Plan. 

(b) Each credit in a proposed mitigation bank must include 
a minimum of one acre of restoration or creation as defined in 
15ANCAC2H.0506(hK4). 

Histoiy Note: Author^- GS. 143-214. II: 143-214. 12: 143- 

215.3: 

Eff. Ausiist ] . 1998. 

SECTION .0400 - WETLANDS RESTORATION 
FUND 

.0401 PURPOSE 

This Section establishes the Wetlands Restoration Fund 
pursuant to G.S. 143-214.12. 

Histon-Note: .AuihormG.S. 143-214.11: 143-214.12: 143- 

215.3: 

Eff. .August 1 . 1998. 

.0402 SCHEDULE OF FEES 

(a) The amount of pavment into the Fund necessarv to 



achieve compliance with compensatory mitigation 
requirements shall be determined in accordance with 
Subparagraphs ( 1 ) through (3) of this Paragraph. The fee will 
be based on the acres and types of compensatory mitigation 
specified in the approved certifications issued by the 
Department under 33 USC § 1341; and permits or 
authorizations issued b\ the United States Arm) Corps of 
Engineers under 33 USC § 1344. Payments shall be rounded 
up in increments of linear feet for streams and in 0.25 acre 
increments for wetlands, e.g. for streams. 520.3 linear feet of 
compensatorv mitigation would be considered as 521 feet, and 
for wetlands. 2.35 acres of required compensaton mitigation 
would be considered as 2.5 acres for the purpose of 
calculating the amount of pa\ment. 

(1) Classified surface waters other than wetlands as 
defined in 15A NCAC 2B .0202. The payment 
shall be one hundred twenty-five dollars ($125.00) 
per linear foot of stream. 

(2) Class WL wetlands as defined in 15A NCAC 2B 
.0101(c)(8). The payment shall be: 

(A) Twelve thousand dollars ($12,000) per acre 
for non-riparian w etlands. 

(B) Twenty four thousand dollars ($24,000) per 
acre for riparian wetlands. 

(3 ) Class SWL w etlands as defined in 1 5 A NCAC 2B 
.0101(d)(4). The payment shall be one hundred 
twent) thousand dollars (SI 20.000) per acre. 

(b) The fees outlined in Subparagraphs (a)(1) through 
(a)(3) of this Rule shall be reviewed annualK and compared 
to the actual cost of re ;oration activities conducted h\ the 
Department, including planning, monitoring and maintenance 
costs. Based upon this annual review . revisions to Paragraph 
(a) of this Rule will be recommended when adjustments to this 
Schedule of Fees are deemed necessar}. 

Histoiy Xoie: .Authohy G.S. 143-214. 11: 143-214. 12: 143- 

215.3: 

Eff August 1. 1998. 

.0403 DONATION OF PROPERTY 

(a) if approved b> the Council of State, donations or 
dedications of interests in real propertv; for the purposes of 
restoration, enhancement, or preservation, may be accepted b\ 
the Secretan.. or the Secretary's designee, if the propert> is 
consistent with the Basinwide Restoration Plan for the 
appropriate river basin subject to the factors listed in 
Paragraphs (b) and (c) of this Rule, or if the propertx interest 
is being donated to satisfy a condition of a certification issued 
by the Department under 33 USC § 1341. The property is 
consistent with the Basinwide Restoration Plan if the property 
is located within an area that is identified as a priorit> for 
restoration in the Basinwide Restoration Plan or is located at 
a site that is othen\ ise consistent w ith the goals outlined in the 
Basinwide Restoration Plan for the appropriate river basin. 

(b) The factors that shall be considered bv the Secretan, or 
the Secretarv's designee, in detemiining v\hether to accept 
donations or dedications of interests in real propertv for the 
purposes of wetland or riparian area restoration or 



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July 1, 1998 



H7 



1 



APPROVED RULES 



enhancement include the follow ing: 

( 1 ) whether the propeit> is adjacent to. or will become 
a part of. a Department approved restoration or 
preser\ation project; or is adjacent to or includes a 
sensitive natural resource, as identified in the 
Basinwide Restoration Plan: or is adjacent to or 
includes propert\ v\ith known occurrences of rare 
species as identified b> the North Carolina Natural 
Heritage Program in the "Natural Heritage Program 
List of Rare Animal Species of North Carolina" or 
the "Natural Heritage Program List of the Rare 
Plant Species of North Carolina": or is adjacent to 
or includes a Significant Natural Heritage Area as 
identified bv the North Carolina Natural Heritage 
Program in the "North Carolina Natural Heritage 
Program Biennial Protection Plan. List of 
Significant Natural Heritage Areas." Copies of 
these documents ma\ be obtained from the 
Department of Enxironment and Natural Resources, 
Division of Parks and Recreation. Natural Heritage 
Program. PO Box 27687. Raleigh. North Carolina 
276n: 

(2) whether the size of the propertx is at least five 
contiguous acres: 

(3) the likelihood that the site can be successfulK 
restored or enhanced, based on hvdrologv. soils, 
and vegetation; 

(4) the extent of activities required to successfullv 
restore or enhance the site. Sites requiring extreme 
measures for successful restoration, such as 
removal of structures or infrastructure, will not be 
accepted; 

{5) absence of cultural and historic resources: 

(6) prior, curtent. and future land use of the donated 
propertv and adjacent properties; 

(7) existence of federallv or state-listed sensitive, 
endangered, or threatened species, or their critical 
habitat; 

(8) the potential for enhancement of natural resource 
values of public lands: 

(9) absence of hazardous substance and solid waste: 

(10) vv hether the propeitv is adjacent to non-supporting, 
partial K supporting, or support-threatened waters as 
designated bv the Division of Water Qualitx 
pursuant to 40 CFR 131.10(a) through (g). This 
material is available for inspection at the 
Department of Environment and Natural Resources. 
Division of Water Qualirv. ^A■ater Qualitv Section. 
512 North Salishur> Street. Raleigh. North 
Carolina; 

(11) absence of encumbrances and conditions on the 
transfer of the propertv interests; and 

(12) provisions have been made for the long temi 
maintenance and management of the propertv. 

(c) The factors that shall be considered bv the Secrelan. or 
the Secretar\"s designee, in determining whether to accept 
donations or dedications of interests in real propertv for the 
purpose of preservation of existing wetland and riparian areas 



include the following: 

( 1 ) whether the property has clearK identifiable unique 
wetland or riparian area functions or values, such as 
federallv or state-listed sensitive, endangered or 
threatened species, or their critical habitat; 

(2) the potential for enhancement of natural resource 
values of public lands; 

(3) whether the propertx is adjacent to. or vsill become 
a part of a Department approved restoration or 
preservation project; or is adjacent to or includes a 
sensitive natural resource, as identified in the 
Basinvside Restoration Plan: or is adjacent to or 
.includes property with knovsn occurtences of rare 
species as identified bv the North Carolina Natural 
Heritage Program in the "Natural Heritage Program 
List of Rare Animal Species of North Carolina" or 
the "Natural Heritage Program List of the Rare 
Plant Species of North Carolina": or is adjacent to 
or includes a Significant Natural Heritage Area as 
identified by the North Carolina Natural Heritage 
Program in the "North Carolina Natural Heritage 
Program Biennial Protection Plan. List of 
Significant Natural Heritage Areas." Copies of 
these documents mav be obtained from the 
Department of Environment and Natural Resources. 
Division of Parks and Recreation. Natural Heritage 
Program. PO Box 27687. Raleigh. North Carolina 
27611; 

(4) v\ hether the size of the propertv is at least five 
contiguous acres; 

(5) v\ hether the propertv is under imminent threat of 
degradation; 

(6) prior, current, and future land use of the donated 
propertv and adjacent properties: 

(7) absence of extensive structures and infrastructure; 

(8) absence of hazardous substance and solid waste; 

(9) absence of cultural and historic resources; 

(10) w hether the propertv is adjacent to non-supporting. 
partialK supporting, or support-threatened waters as 
designated bv the Division of Water Qualitv 
pursuant to 40 CFR 131.10(a) through (g). This 
material is available for inspection at the 
Department of Environment and Natural Resources. 
Division of Water Qualitv. Water Qualitv Section. 
512 North Salisbui-> Street. Raleigh. North 
Carolina; 

(11) absence of encumbrances and conditions on the 
transfer of the propertv interests: and 

(12) provisions have been made for the long temi 
maintenance and management of the propertv. 

(d) At the expense of the applicant or donor, the following 
information must be submitted with anv proposal for 
donations or dedications of interest in real propertv: 

(1) documentation that the propertv meets the criteria 
outlined in Paragraph (b) and (c) of this Rule; 

(2) US Geologic Survev 1 :24. 000 (7.5 minute) scale 
topographic map. countv tax map. USDA Natural 
Resource Conservation Service Countv Soil Survev 



88 



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APPROVED RULES 



Map, and county road map showing the location of the 
propem' to be donated along with information on existing site 
conditions, vegetation types, presence of existing structures 
and easements; 

(3) a current property survey performed in accordance 
with the procedures of the North Carolina 
Department of Administration. State Property 
Office as identified by the State Board of 
Registration for Professional Engineers and Land 
Surveyors in "Standards of Practice for Land 
Surveying in North Carolina." Copies ma\ be 
obtained from the North Carolina State Board of 
Registration for Professional Engineers and Land 
Sun/eyors. 3620 Six Forks Road, Suite 300, 
Raleigh. North Carolina 27609; 

(4) a current appraisal of the value of the property 
performed in accordance with the procedures of the 
North Carolina Department of Administration, State 
Property,' Office as identified by the Appraisal 
Board in the "Uniform Standards of Professional 
North Carolina Appraisal Practice." Copies may be 
obtained from the Appraisal Foundation. 
Publications Department. PO Box 96734. 
Washington. D.C. 20090-6734; 

(5) a title certificate; and 

(6) documentation that the property does not contain 
structures that present health or safet> problems to 
the general public. If v\ el Is. septic, water or sewer 
connections exist. the> shall be filled, remediated or 
closed at owner's expense, and in accordance with 
state and local health and safet\ regulations. 

(e) In addition to the factors outlined in Paragraphs (b) 
through (d) of this Rule, the Secretar>', or the Secretary's 
designee, shall consider the following factors uhen 
determining whether to accept a donation of interest in real 
property to satisfy compensator! mitigation requirements; 

( 1 ) w hether restoration of the property will offset the 
adverse impacts of the permitted project; and 

(2) whether the adverse impacts of the pennitted 
project are w ithin the same subbasin as the property 
proposed for donation. 

(f) Donations of interests in real propertx for the purpose 
of satisfy ing compensator) mitigation requirements will only 
be considered for acceptance when the proposed donation will 
offset an impact for uhich an application has alread\ been 
made to the United States Amiy Corps of Engineers under 33 
use § 1 344 or to the Department under 33 use § 1341. 

(g) For the purposes of satisfying compensator) mitigation 
requirements through the donation of interests in real propert\, 
for property requiring restoration, enhancement, or 
preservation, the size of property to be donated must equal or 
exceed the acreage of wetland required to be mitigated under 
the approved permit and ever, parcel must be a minimum of 
five contiguous acres in size. 

(h) Donation of real property' interests to satisfy 
compensator) mitigation requirements will onl\ be accepted 
if such propert) meets the requirements of Paragraphs (a) 
through (i) of this Rule and 15A NCAC 2H .0506(h) and 



satisfies the compensatory mitigation requirements of the 
approved permit. 

(i) The donation of conservation easements to satisfy 
compensatory mitigation requirements will only be accepted 
if the conservation easement is granted in perpetuity and the 
propert}' to be encumbered meets the requirements of 
Paragraphs (a) through (j) of this Rule, or if the property 
interest is being donated to satisfy a condition of a 
certification issued by the Department under 33 USC § 1 34 1 . 

{}) Donation of interests in real property may contribute to 
or fulfill compensator) mitigation requirements that ma\ be 
satisfied through pa)Tnent of a fee as outlined in the Schedule 
of Fees in Rule .0402(a) of this Section. The value of the 
property interest shall be detemiined by an appraisal 
perfonned in accordance with Subparagraph (d)(4) of this 
Rule. The required fee as calculated in accordance w ith Rule 
.0402(a) of this Section shall be satisfied if the appraised 
value of the donated property interest is equal to or greater 
than the fee. If the appraised value of the donated property 
interest is less than the designated fee requirement as 
calculated in accordance with Rule .0402(a) of this Section, 
the applicant shall pa) the remaining balance due. 

Histoiy Note: Auihority U.S. N3-2N. 1 1: I -13-2 14. 12: 143- 

215.3: 

Eff.Aii^iisl !. 1998. 

CHAPTER 3 - MARINE FISHERIES 

SUBCHAPTER 3J - NETS, POTS, DREDGES, .ND 
OTHER FISHING DEVICES 

SECTION .0200 - NET RULES, SPECIFIC AREAS 

.0202 ATLANTIC OCEAN 

In the Atlantic Ocean: 

(1) It is unlawful to use nets from .lune 15 through 
August 1 5 in the waters of Masonboro Inlet or in 
the ocean within 300 )ards of the beach between 
Masonboro Inlet and a line running 138" through 
the water tank on the northern end of Wrightsville 
Beach, a distance parallel with the beach of 4.400 
yards. 

(2 ) It is unlawful to use trawls within one-half mile of 
the beach between the Virginia line and Oregon 
Inlet. 

(3) It is unlawful to use a trawl with a mesh length less 
than four inches in the main bod), three inches in 
the extension, and one and three-fourths inches in 
the cod end or tail bag inshore of a line beginning 
at a point 34" 41' 18'' N - 76° 40' 08" W on the 
western side of Beaufort Inlet Channel (the present 
location of buoy "11" 01^ FI); thence westward 
parallel to and one-half mile from the ocean back to 
a point 34° 40' 32" N - 76° 53' 45" W off Salter 
Path. 

(4) It is unlawful to use trawl nets, including fiynets. 
southwest of the 9960-Y chain 40250 LORAN C 



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89 



APPROl ED RULES 



line (running offshore in a southeasteriv direction) from Cape 
Hattera.s to the North CaroHna South Carohna line except: 

(a) Shrimp trauls as defined in 15A NCAC 3L 
.0103; 

(b) Crab trawls as defined in 15A NCAC 3L 
.0202: or 

(c) Flounder trawls as defined in 15A NCAC 
3M .0503. 

(5) Finfish taken with shrimp or crab trawls: 

(a) It is unlawful to possess fmflsh (including 
pursuant to 15A NCAC 3M .0102) 
incidental to shrimp or crab traw 1 operations 
from December 1 through March 31 unless 
the weight of the combined catch of shrimp 
and crabs exceeds the weight of fmflsh 
except as pro\ ided in Sub-Item (5)(b) of this 
Rule: 

(b) It is lawful to possess 300 pounds of 
kingflsh (Menticirrhus, sp.) taken south of 
Bogue Inlet regardless of the amount of 
shrimp, crabs or finfish taken. 

(6) It is unlaw ful to use unattended gill nets or block or 
stop nets in the Atlantic Ocean w ithin 300 > ards of 
the beach from Beaufort Inlet to the South Carolina 
line from sunset Frida\ to sunrise Vlonda_\ from 
Memorial Da> through Labor Da\. 

(7) It is unlawful to use gill nets in the .Atlantic Ocean 
w ith a mesh length greater than se\en inches from 
April 15 through December 15. 

(8) It is unlawful to use shrimp trawls in all waters west 
of a line beginning at the southeastern tip of 
Baldhead Island 33' 50' 29" N - 77= 57' 28" W 
running 173 ' (M) to a point in the Atlantic Ocean 
33 ' 46' 16" N - 77 ' 56' 24" W from one hour after 
sunset to one hour before sunrise. 

History Xote: Authority G.S. 113-13-1: 113-182; 

143B-:H9.4: 

Eff.Jamiaiy 1. 1991: 

Amended Eff. Aiisiisl L 1998: March I. 1996: September 1. 

1991. 

CHAPTER 7 - COASTAL MANAGEMENT 



wire for the transmission, for any purpose, of electrical 
energ>. telephone and telegraph messages, and radio and 
television communication. 

(b) There must be no resultant change in preconstruction 
bottom contours. Authorized fill includes onK that necessan 
to backfill or bed the utilit\ line. Any excess material must be 
remo\ ed to an upland disposal area. 

(c) The utilit) line crossing will not ad\erseK affect a 
public water suppK intake. 

(d) The utilit} line route or construction method will not 
disrupt the movement of those species of aquatic life 
indigenous to the w aterbod\ . 

(e) Individuals shall allow authorized representatives of the 
Department of Environment. Health, and Natural Resources 
to make periodic inspections at an\ time necessarv to ensure 
that the activity being performed under authoritv of this 
general permit is in accordance with the terms and conditions 
prescribed herein. 

(f) This general permit v\ill not be applicable to proposed 
construction where the Department has detennined. based on 
an initial rev lew of the application, that notice and review- 
pursuant to G.S. I 13A-1 19 is necessarv because there are 
unresolved questions concerning the proposed activity's 
impact on adjoining properties or on v\ ater qualit> : air quality; 
coastal v\etlands; cultural or historic sites; v\ ildlife; fisheries 
resources; or public trust rights. 

(g) This permit does not eliminate the need to obtain anv 
other required state, local, or federal authorization, nor. to 
abide by regulations adopted bv anv federal or other state 
agencv. 

(h) Development carried out under this pemiit must be 
consistent with all local requirements. AEC guidelines, and 
local Land Use Plans current at the time of authorization. 

History Note: Authority G.S. 113-229(eli: 1 13A-l(l'(a)(h): 

II3A-113(h): 113A-118.1: 

Eff. March 1. 1985: 

Amended Ejf. May 1 . 1990: 

RRC Objection due to ambiguit}- Eff. May 19. 1994: 

Amended Eff. .August 1. 1998: July I. 1994. 

CHAPTER 10 - WILDLIFE RESOURCES 
AND WATER SAFETY 



SUBCHAPTER 7H - ST.ATE GUIDELINES FOR 
AREAS OF EN\ IRONMENTAL CONCERN 

SECTION .1600 - GENERAL PERMIT FOR THE 

INSTALL.\TION OF AERIAL AND SUBAQUEOUS 

ITILITN LINES WITH ATTENDANT 

STRUCTl RES IN COASTAL WETLANDS: 

ESTUARINE WATERS: PUBLIC TRUST WATERS 

AND ESTUARINE SHORELINES 

.1604 GENERAL CONDITIONS 

(a) Utilirs lines for the purpose of this general per it or 
anv pipes or pipelines for the transportation of potable water, 
domestic sanitarv sewaae. natural aas. and anv cable, line, or 



SUBCHAPTER lOB - HUNTING AND TRAPPING 
SECTION .0100 - GENERAL REGULATIONS 

.01 13 BIG GAME KILL REPORTS 

The carcass of each bear, wild turkev. and deer (except 
antlerless deer harvested on areas in the Deer Management 
Assistance Program as described in G.S. 1 13-29 1.2(e)) shall 
be tagged at the site of the kill w ith the appropriate big game 
tag which has been validated bv cutting out the month and da\ 
of the kill. 

All harvested bear. deer, wild turkev . and wild boar must be 
registered at a W ildlife Cooperator .Agent or reported through 
the toll free Big Game Telephone Reporting Svstem. before 



90 



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1 3:1 



ma 



i wiMuimm wHi 



APPROVED RULES 



they are skinned or dressed or dismembered for consumption 
except in those cases where the kill occurs in a remote area 
which prevents the animal from being transported as an entire 
carcass. In these cases, the carcass ma\ be tagged, skinned, 
quartered, and transported to the Wiidhfe Cooperator Agent 
for reporting or reported within 24 hours through the Big 
Game Telephone Reporting System. A Wiidhfe Cooperator 
Agent located within the immediate area of open season shall 
supply an authorization number or an authorization number 
ma\ be obtained through the Big Game Telephone Reporting 
System. The tag shall be affixed to the carcass at a location 
and in such manner as to be visible upon inspection from the 
outside, and it is unlawful to affix the tag at an\ location or in 
an> manner so as to conceal it from visibility upon ordinary 
inspection. It is unlawful to remove the tag from the carcass 
prior to the kill being properly reported either through a 
Wildlife Cooperator Agent or through the Big Game 
Telephone Reporting System or at any time thereafter until the 
carcass is finally skinned or dressed for consumption. The 
authorization number given through the Big Game Telephone 
Reporting System or a Wildlife Cooperator Agent must be 
recorded on the appropriate line of the hunter's Big Game 
Har\est Authorization Record provided with their license and 
shall thereafter constitute his permit to continue in possession 
of the carcass. Otherwise, the continued possession of the 
bear, wild turke>. deer or wild boar shall be unlawful. 

Persons who are by law exempt from the big game hunting 
license are not required to tag the carcass but shall report each 
kill as above required, and. in lieu of the tag and Big Game 
Harvest Authorization Record, the hunter shall record the 
authorization number and retain it to thereafter constitute his 
permit to continue in possession of the carcass. The word 
"exempt" together with the reason therefor (parent's license. 
landowner, agricultural lessee) shall be written on the hunter's 
record and the registration form at the Wildlife Cooperator 
Agent. 

Persons killing a deer under the Deer Management 
Assistance Program and not required to use the tag provided 
w ith the Big Game License must not record their authorization 
number on the Big Game Authorization Record but must keep 
a separate record of the authorization numbers obtained for 
deer killed under this program. 

An\ big game tag which has been detached from the 
backing or tag card issued with the big game license prior to 
the killing and tagging of the big game animal may be seized 
by a wildlife enforcement officer, if there is evidence of prior 
use. 

History \ote: Aiithoriiy G.S. 113-134: 113-2:'().3: 

113-2-6.1: 

Eff. February 1. 1976: 

Amended Eli: July 1. 1998: July 1. 199': July I. 1995: July 1. 

1994: July 1. 1993: July 1. 1989. 

SECTION .0200 - HUNTING 

.0202 BEAR 

(a) Open Seasons for bear shall be from the: 



( 1 ) Monday on or nearest October 15 to the Saturday 
before Thanksgiving and the third Monday after 
Thanksgiving to January 1 in and west of the 
boundary formed by NC 16 from the Virginia State 
line to Wilkesboro and NC 18 from Wilkesboro to 
the South Carolina State line. 

(2) Second Monday in November to the following 
Saturday and the third Monday after Thanksgiving 
to the following Wednesday in all of Beaufort. 
Beilie. Camden. Craven. Dare. Gates. Hertford. 
H>de. Jones, Pamlico, Pasquotank, Tyrrell, and 
Washington counties; and in the following parts of 
counties: 

Chowan: that part north of a line formed 

by SR 1002, SR 1222 and SR 
1221. 

Currituck: except Knotts Island and the 

Outer Banks. 

Halifax: that part east of US 301. 

Martin: that part east of US 17. 

Northampton: that part east of US 301. 

(3) Second Mondav in November to Januar) 1 in all of 
Bladen. Carteret, Duplin. New Hanover. Onslow 
and Pender counties; and in the following parts of 
counties: 

Cumberland: that part south of NC 24 and 

east of the Cape Fear River. 
Sampson: that part south of NC 24. 

(4) Second Mondav in December to Januar) I in 
Brunswick and Columbus counties. 

(b) No Open Season. There is no open season in any area 
not included in Paragraph (a) of this Rule or in those parts of 
counties included in the following posted bear sanctuaries: 
Aver>; Burke and Caldwell counties-Daniel Boone 
bear sanctuary 

Beaufort. Bertie and Washington 

counties— Bachelor Bay bear sanctuary 
Beaufort and Pamlico counties— Gum Sv\amp bear 
sanctuarv 

Bladen County— Suggs Mill Pond bear sanctuary 
Brunsw ick Count> -Green Swamp bear sanctuary 
Buncombe. Haywood. Henderson and Transylvania 
counties— Pisgah bear sanctuary 
Carteret. Craven and Jones counties— Croatan bear 
sanctuary 

Cla\ County— Fires Creek bear sanctuary 
Columbus County— Columbus County bear 
sanctuarv 

Cun'ituck Countv— North River bear sanctuary 
Dare County— Bombing Range bear sanctuary 
Havwood Counts -Harmon Den bear sanctuary 
Ha\ wood Count} -Sherwood bear sanctuary 
H\de Counl\-Gull Rock bear sanctuan, 
H\de Countv-Pungo River bear sanctuary 
Jackson Counts -Panthertown-Bonas Defeat bear 
sanctuar> 

Jones and Onslow counties-Hofmann bear 
sanctuarv 



13:1 



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July /. J 998 



91 



APPROVED RILES 



Macon Counr\— Standing Indian bear sanctuars 

Macon Counn— Wa>ah hear sanctuars 

Madison Counn— Rich Mountain bear sanctuar> 

McDowell and \'ance\ counties— Mt. Mitchell bear 

sanctuar> 

Mitchell and 'N'anceN counties— Flat Top bear 

sanctuar> 

Wilkes Counr\— Thumiond Chatham bear sanctuan. 

(c) Bag limits shall be: 

( 1 ) daih. one; 

(2) possession, one; 

(3) season, one. 

(d) Kill Reports. The carcass of each bear shall he tagged 
and the kill reported as pro\ided b> 15A NCAC lOB .01 13. 

Hisron-\ote: Ainhorin- G.S. 113-134: 113-291.2: 

113-291.': 113-305: 

Eff. February 1. I9'6: 

.Amemied EflJulx 1. 1998: September 1. 1995: Julv 1. 1995: 

July I. 1994: .April I. 1992. 

.0203 DEER(VVHITE-T.41LED) 

(a) Closed Season. All counties and parts of counties not 
listed under the open seasons in Paragraph (b) in this Rule 
shall be closed to deer hunting. 

(b) Open Seasons (All Lawful Weapons) 

( 1 ) Deer With Visible .Antlers. Deer w ith antlers or 
spikes protruding through the skin, as distinguished 
from knobs or buttons covered b\ skin or \el\et. 
ma> be taken during the follow ing seasons: 

(A) Monda_\ on or nearest October 15 through 
January 1 in all of Beaufort. Bertie. Bladen, 
Brunswick. Camden. Carteret. Chowan. 
Columbus*. Cra\en. Currituck. Dare. 
Duplin. Edgecombe. Franklin. Gates. 
Greene. Halifax. Hertford. Hoke. H>de. 
Johnston, .lones. Lenoir. Martin. Nash. New 
Hano\er. Northampton. Onslow. Pamlico. 
Pasquotank. Pender. Perquimans. Pirt. 
Richmond**. Robeson. Sampson. 
Scotland**. Txrrell. \'ance. Wake. W arren. 
Washington. W'a_\ne. and Wilson counties, 
and the following parts of counties: 
Cumberland: All of the count} except that 
part east of US 401. north of NC 24. and 
west of 1-9. ^; 

Harnett: That part west of NC 87; 
Moore**: All of the count} except that part 
north of NC 2 1 1 and west of US 1 : 
*Unlawful to hunt or kill deer in Lake 
Waccamaw or within .^0 \ards of its 
shoreline. 

**See 15A NCAC iOD .0003(0(52 KB) for 
seasons on Sandhills Game Land. 

(B) Monda\ of Thanksgi\ing week through the 
third Saturday after Thanksgiving Da\ in all 
of Alexander. .Alleghan\. Ashe. Catawba. 
Davie. ForsMh. Gaston. Iredell. Lincoln. 



Stokes. Surr>', Watauga. Wilkes, and Yadkin 
counties. 

(C) MondaN of Thanksgiving week through the 
third Saturday after Thanksgi\ing Da> in all 
of A\er>. Buncombe. Burke. Caldwell. 
Cherokee. Cla\. Cle\eland. Graham. 
Ha\wood. Henderson, .lackson. Macon. 
Madison. McDowell. Mitchell. Polk. 
Rutherford. Swain. Trans\l\ania. and 
Yance\ counties. 

(D) Mondax before Thanksgi\ ing week through 
.lanuar\ I in all of Alamance. Anson. 
Cabarrus. Caswell. Chatham. Dasidson. 
Durham. Gran\ille. Guilford. Lee. 
Mecklenburg. Montgomeo, . Orange. Person. 
Randolph. Rockingham. Rowan. StanK. and 
Union counties, and in the follow ing parts of 
counties: 

Cumberland: That part east of US 401. north 
ofNC 24 and west of 1-95; 
Harnett: That part east of NC 87; 
Moore: Tliat part north of NC 2 1 1 and west 
ofUS 1; 

(E) Monda\ on or nearest September 10 through 
Januan. 1 in those parts of Camden. Gates 
and Pasquotank counties known as the 
Dismal Swamp National Wildlife Refuge, in 
those parts of H\de. T\rrell and Washington 
counties known as the Pocosin Lakes 
National Wildlife Refuge, in those parts of 
Anson and Richmond counties known as the 
Pee Dee National Wildlife Refuge, and in 
that part of Currituck Count} known as the 
Macka\ Island National W ildlife Refuge. 

(2) Deer of Either Sex. Except on Game Lands, deer 
of either sex ma\ he taken during the open seasons 
and in the counties and portions of counties listed in 
this Subparagraph (See IOD .0003 for either sex 
seasons on Game Lands): 

(A) The open either-sex deer hunting dates 
established b\ the U.S. Fish and Wildlife 
Ser\ ice during the period from the Monda\ 
on or nearest September 10 through .lanuar} 
1 in those parts of Camden. Gates and 
Pasquotank counties known as the Dismal 
Swamp National W ildlife Refuge, in those 
parts of H}de. Txrrell and Washington 
counties known as the Pocosin Lakes 
National Wildife Refuge, in those parts of 
Anson and Richmond counties known as the 
Pee Dee National Wildlife Refuge, and in 
that part of Currituck Count} known as the 
Macka} Island National WildlifeRefuge. 

(B) The open either-sex deer hunting dates 
established b\ the appropriate militan. 
commands during the period from Monda\ 
on or nearest October 1 5 through Januar} 1 
in that part of Brunsw ick Count} know n as 



92 



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July I. 199S 



13:1 



■ UJJUUUyjUUUWUIMIUUHIIII 



APPROVED RULES 



» 



the Sunny Point Military Ocean Terminal, in that part of 
Craven Count> known and marked as Cherrv Point Marine 
Base, in that part of Onslow Counts known and marked as the 
Camp Lejeune Marine Base, on Fort Bragg Military 
Reservation, and on Camp Mackall Militar)' Reservation. 

(C) First Saturday' in October for youth either 
sex deer hunting b\ permit onK on a portion 
of Belews Creek Steam Station in Stokes 
Count> designated by agents of the 
Commission. 

(D) The last open da\ of the Deer with Visible 
Antlers season described in Subparagraph 
(b)(1) of this Rule in all of Buncombe. 
HaN-wood. Henderson. Madison. Mitchell, 
Polk, Transylvania, and Yancey counties and 
the follow ing parts of counties: 

A\er\ : That part south of the Blue Ridge 

ParkwaN. 

Robeson: That part west of l-')5. 

Scotland: That part south of US 74. 

(E) The last six open da\s of the Deer With 
Visible Antlers season described in 
Subparagraph (b)(1) of this Rule in all of 
Burke. Caldwell. Catawba. Gaston. Lincoln, 
McDowell, and Watauga and the following 
parts of counties: 

Camden: That part south of US 158. 
Dare: Except the Outer Banks north of 
Whalebone. 

(F) The first six open da>s and the last six open 
da\s of the Deer w ith Visible Antlers season 
described in Subparagraph (b)(1) of this 
Rule in all of Carteret. Cleveland. Harnett. 
Hoke. Pamlico. Richmond. Rutherford, 
counties and in the following parts of 
counties: 

Columbus: That part west of US 74. SR 
1005. and SRI 125. 
Cumberland: That part west of l-')5. 
Moore: All of the count\ except that part 
north of NC 2 1 1 and west' of US 1 . 
Robeson: That part east of 1-95. 
Scotland: That part north of US 74. 

(G) The first six open da_\s. open da\s the week 
of Thanksgi\ ing. and the last six open da\s 
of the Deer with Visible Antlers season 
described in Subparagraph (b)(1) of this 
Rule in all of Greene. Pasquotank. T\rrell. 
Wa\ne and Wilson counties and in the 
following parts of counties: 

Camden: That part north of US 158. 

Chowan: That part north of US 17 and west 

of NC 32. 

Currituck: All of the count} except the 

Outer Banks. 

Nash: That part south of US 64. 

Johnston: That part north of US 70 or west 

of 1-95. 



(H) All the open days of the Deer With Visible 

Antlers season described in Subparagraph 

(b)(1) of this Rule in all of Alamance. 

Alexander. Alleghany. Anson. Ashe. 

Beaufort, Bertie. Bladen. Brunswick. 

Cabarrus. Caswell. Chatham. Cra\en. 

Davidson. Davie. Duplin. Durham. 

Edgecombe. Fors\lh. Franklin. Gates. 

Granville. Guilford. Halifax. Hertford. H\ de. 

Iredell, .tones. Lee. Lenoir. Martin. 

Mecklenburg. Montgomers. New Hano\er. 

Northampton. Onslow. Orange. Pender. 

Perquimans. Person. Pitt. Randolph. 

Rockingham. Rowan. Sampson. Stanly. 

Stokes. Suny . Union. Vance. Wake. Warren, 

Washington. Wilkes and Yadkin counties. 

and in the following parts of counties: 

Buncombe: that part east of NC 191. south 

of the French Broad and Swannanoa Rivers. 

west of US 25. and north of SR 3503. NC 

146 and SR 3501. 

Chowan: That part south of US 17 or east of 

NC32. 

Columbus: That part east of a line formed 

by US 74. SR 1005. and SR 1 125. 

Cumberland: that part east of 1-95. 

Dare: That part of the Outer Banks north of 

Whalebone. 

Johnston: That pail south of US 70 and east 

of 1-95. 

Moore: that part north of NC 21 1 and west 

ofUS 1. 

Nash: That part north of US 64. 
(c) Open Seasons (Bow and Arrow) 
( 1 ) Authorization. Subject to the restrictions set out in 
Subparagraph (2) of this Paragraph and the bag 
limits set out in Paragraph (e) of this Rule, deer of 
either sex may be taken with bow and arrow during 
the following seasons: 

(A) Monday on or nearest September 10 to the 
fourth Saturday thereafter in the counties and 
parts of counties having the open season for 
Deer With Visible Antlers specified b\ Part 
(A) of Subparagraph (b)(1) of this Rule, 
except on the Sandhills Game Land and the 
area known as the Outer Banks in Currituck 
Count>: 

(B) Mondax on or nearest September 10 to the 
second Saturda\ before Thanksgi\ ing in the 
counties and parts of counties having the 
open seasons for Deer With Visible Antlers 
specified b\ Part (B) of Subparagraph (b)( 1 ) 
of this Rule. 

(C) Monda\ on or nearest September 10 to the 
fourth Saturda> thereafter, and Monda_\ on 
or nearest October 15 to the Saturday before 
Thanksgiving in the counties and parts of 
counties ha\ ing the open seasons for Deer 



13:1 



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July 1, 1998 



93 



APPROVED RULES 



With Visible Antlers specified b\ Part (C) of Subparagraph 
(bXI) of this Rule. 

(D) Monda\ on or nearest September 10 to the 
third Saturday before Thanksgi\ing in the 
counties and parts of counties having the 
open season for Deer With Visible Antlers 
specified by Part (D) of Subparagraph (b)( 1 ) 
of this Rule, and on Sandhills Game Land. 
(2) Restrictions 

(A) Dogs ma> not be used for hunting deer 
during the bow and arrow season. 

(B) It is unlawful to earn, an\ tNpe of tlrearm 
while hunting with a bow during the bow 
and arrow deer hunting season. 

(C) OnK bows and arrov\s of the t\pes 
authorized in ISA NCAC lOB .0116 for 
taking deer may be used during the bow and 
arrow deer hunting season. 

(d) Open Seasons (Muzzle-Loading Ritles and Shotguns) 

(1) Authorization. Subject to the restrictions set out in 
Subparagraph (2) of this Paragraph, deer ma\ be 
taken onK with muzzle-loading firearms (except 
that bow and arrow max be used on designated and 
posted game land Archen Zones) during the 
follow ing seasons: 

(A) Monda\ on or nearest October 8 to the 
follow ing Saturday in the counties and parts 
of counties ha\ ing the open seasons for Deer 
With Visible Antlers specified b\ Parts (A) 
and (C) of Subparagraph (b)( 1 ) of this Rule, 
except on Sandhills Game Land and the area 
known as the Outer Banks in Currituck 
Count). 

(B) Monday to Saturda\ of the week preceding 
Thanksgiving week in the counties and parts 
of counties ha\ ing the open seasons for Deer 
W ith Visible Antlers specified b> Part (B) of 
Subparagraph (b)( 1 ) of this Rule. 

(C) Mondav to Saturda\' of the second week 
before Thanksgiving week in the counties 
and parts of counties having the open season 
for Deer With Visible Antlers specified bv 
Part (D) of Subparagraph (b)( 1 ) of this Rule, 
and on Sandhills Game Land. 

(2) Restrictions 

(A) Deer of either sex ma\ be taken during 
muzzle-loading firearms season in and east 
of the following counties: Rutherford. 
McDowell. Burke. Caldwell. Wilkes, and 
Ashe. Deer of either sex ma\ be taken on 
the last da\ of muzzle-loading firearms 
season in all other counties. 

(B) Dogs shall not be used for hunting deer 
during the muzzle-loading firearms seasons. 

(C) Pistols shall not be carried while hunting 
deer during the muzzle-loading firearms 
seasons. 

(e) The dail_\ bag limit shall be rv\o and the possession limit 



six. two of which shall be antlerless. The season limit shall be 
six. two of which shall be antlerless. Antlerless deer include 
males with knobs or buttons covered by skin or velvet as 
distinguished from spikes protruding through the skin. The 
antlerless bag limits described abo\e do not appK to antlerless 
deer harvested in areas covered in the Deer Management 
Assistance Program as described in G.S. 1 13-29 1.2(e). 
Individual daih antlerless bag limits on these areas shall be 
determined by the number of special tags, issued by the 
Division of Wildlife Management as authorized bv the 
Executive Director, that shall be in the possession of the 
hunter. Season antlerless bag limits shall be set b\ the number 
of tags available. All antlerless deer harvested on these areas, 
regardless of the date of harvest, shall be tagged with these 
special tags but do not have to be tagged w ith Big Game Tags 
pro\ ided w ith the hunting license. 

(f) Kill Reports. The carcass of each deer shall be tagged 
and the kill reported as pro\ ided by L^A NCAC 10B.0113. 

Histon-Note: Authorin- G.S. 113-134: 113-2'().3: 

113-276.1: 113-291.1: 113-291.2: 

Eff. Februaiy 1 . 19' 6: 

.Amended Eff. My 1. 1998: July 1. 199': July 1. 1996. July 1. 

1995: December I. 1994: July 1. 1994: July 1. 1993. 

.0209 WILD TURKEY (BEARDED TURKEYS 
ONLY) 

(a) Open Season for w ild turke> shall be from the: Second 
Saturdav in April to Saturdav' of the fourth week thereafter on 
bearded turkevs in the following counties: Alamance. 
Alexander. Alleghanv. Ashe. Aver}. **Bladen. Buncombe. 
Burke. Caldwell. Caswell. Catawba, **Chatham. Cherokee, 
Cla\. Cle\eland. Davie. **Durham. Edgecombe. Forsyth, 
Gates. Graham. **Granville. Halifax. Harnett. Havwood. 
Henderson. Hertford. Jackson. Jones. Lee. Lincoln. Macon, 
Madison. McDowell. Mitchell. Montgomerv. Northampton, 
Onslow, **Orange. Person. Polk. **Richmond. Rockingham. 
Rutherford, **Scotland, Stokes, Surry. Swain, Transylvania, 
Vance. Warren. Watauga. Wilkes. Yadkin. Yancev and in the 
following portions of counties: 

Anson: That part east of US 52 and north of US 74 

and that part east of NC 145 and south of US 74. 

Beaufort: That part south of the Pamlico River and 

east of US 17. 

**Bertie: All of the count> except that part south 

of NC 42. west of NC 45. north of NC 308. and 

east of US 13. 

Brunswick: That part west ofNC 21 1 and that part 

east of NC 87. 

Cabarrus: That part south of 1-85. east of LiS 601 

Business, and north of NC 49. 

Carteret: That part west of L'S 70 and north of NC 

24. 

Chowan: That part south of L'S-17. 

Columbus: That part north of NC 87 and that part 

east of NC 905 and south of NC 130. 

Craven: .Ml of the count\ except that part west of 

US 17 and north of NC 118. 



94 



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Jiilv L 199H 



13:1 



APPROVED RULES 



Cumberland: That part west of NC 53 or 1-95. 

Davidson: That part south of 1-85. 

Frankhn: All of the count>' except that part north of 

the Tar River and west of US 40 1 . 

Guilford: That part north of 1-40. 

Hoke: That part south and west of NC 21 1 and that 

part known as Fort Bragg. 

Hyde: Starting at the Tyrrell Counts line, that part 

west of a line fomied b}' NC 94- US 264 West. 

SR1124 to Judges Quarter then Quarter Canal to 

Juniper Bay. 

Iredell: That part north of US 70. 

Johnston: That part east of 1-95. 

**Martin: All of the county except that part west of 

US 17 and south of US 64. 

**Moore: That part south of NC 21 1 and that part 

know n as Fort Bragg. 

Nash: All of the count> except that part east of NC 

581 and south of US 64. 

New Hanover: Starting at the Brunswick County 

line, that part north and west of a line formed b\ 

NC-133 and SR 1002. 

Pamlico: That part west of NC 306. 

**Pender: All of the county except that part west 

of 1-40. north of NC 53. and east of US 42 1 . 

Perquimans: That part west of the Perquimans 

River and south of SR 1110 and US 1 7 Business. 

Randolph: That part west of US 220 and north of 

US 64 and that part west of US 220 and south of 

N J 49. 

Robeson: That part east of 1-95 and north of L S 74. 

Rowan: That part southeast of 1-85. 

Sampson: All of the count) except that part east of 

NC 242. south of NC 4 1 1 .' and west of US 70 1 . 

Union: That part south of NC 74 and west of NC 

207. 

**Wake: That part north of 1-40. 

Wa\ne: That part south of US-70 and east of US- 

1 17 and that part south of SR 1007 and north of SR 

1008. 

**The Sandhills Game Land in Richmond. 

Scotland, and Moore Counties, the Bladen Lakes 

State Forest Game Lands in Bladen Count}, the 

Northeast Cape Fear Wetlands Game Lands in 

Pender Count\ . the Jordan Game Land in Chatham. 

Durham, Orange, and Wake Counties, the Butner- 

Falls of the Neuse Game Land in Durham. 

Granville, and Wake Counties, and the Roanoke 

River Wetlands in Bertie. Halifax, and Martin 

Counties are closed to turke\ hunting except by 

holders of special pemiits authorizing turke\ 

hunting as provided in G.S. 1 13-264(d). 

(b) Bag Limits shall be: 

(1) daiK.one: 

(2) possession, two; 

(3) season, two. 

(c) Dogs Prohibited. It is unlawful to use dogs for hunting 
turke\s. 



(d) Kill Reports. The carcass of each wild turkey shall be 
tagged and the kill reported as provided b> 15A NCAC lOB 

.on 3. 

Hlstoiy Note: Auihorin- G.S. 113-134: 113-2~0.3: 

113-2''6.1: 113-291.2: 

Eff. February 1. 19-6: 

Amended Eff. July 1. 1998: . July 1. 199': July 1. 1996: July 1, 

1995: July I. 1994: July 1. 1993: July I. 1992. 

.0216 FALCONRY 

(a) Seasons. Except as provided in Paragraphs (d) and (e) 
of this Rule, the open seasons for the practice of falconn. as 
permitted b\ the rules contained in 15A NCAC lOH .0800 
shall coincide w ith the regular open seasons contained in this 
Section for squirrels, rabbits, quail, ruffed grouse and 
pheasant, and w ith the open seasons set forth in the Code of 
Federal Regulations for migratorv game birds in this state. 

(b) Bag Limits. The dail) bag. possession and season 
limits set forth in this Section for squirrels, rabbits, quail, 
ruffed grouse and pheasant and the daily bag. field possession, 
and total possession limits set forth in the Code of Federal 
Regulations for migratorx game birds shall apply to falconry 
except as provided in Paragraph (e) of this Rule. 

(c) Out of Season Kills. When any raptor being used in 
falconn. kills any species of wildlife for which there is no 
open season or a species of game on which the season is then 
closed, the falconer or person using such raptor shall not take 
su -h dead wildlife into his possession but shall leave the same 
where it lies, provided that the said raptor ma> be allowed to 
feed on such dead wildlife before leaving the site of the kill. 
If the species so killed is a resident species of game on which 
there is a season limit, the kill shall be included as part of the 
season limit of the person using the raptor for falconry. 

(d) Hunting After Limit Taken 

(1) When an\ falconer shall ha\e taken a dail> bag 
limit of any species of wildlife named or included 
in Paragraph (a) of this Rule, regardless of the 
manner of such taking, such falconer shall not 
release an> raptor during the remainder of the day. 

(2) When an\ falconer shall have in his actual or 
constructive possession a possession limit of any 
species of wildlife named or included in Paragraph 
(a) of this Rule, regardless of the manner in which 
such limit was taken, such falconer shall not 
thereafter release any raptor for falconry puiposes 
until the number of such species in his possession 
shall be reduced to a number below such possession 
limit. 

(3) When an\ falconer shall ha\e taken a season limit 
of an\ species of wildlife named in Paragraph (a) of 
this Rule, regardless of the manner in which such 
limit was taken, such falconer shall not during the 
remainder of the applicable falconiA season release 
an\ raptor for falconry purposes. 

(e) Extented Seasons. An extended falconn. season on 
gray and red squirrels and rabbits shall be the Monda> on or 
nearest October 15 until the last da\ of Februarv. Baa limits 



13:1 



NORTH CAROLINA REGISTER 



July 1, 1998 



95 



APPROVED RiLES 



for those portions of the season outside the regular seasons 
shall be 4 squirrels daiK. Possession 8; and 3 rabbits daiK. 
Possession 6. 

History \ote: Authority GS. 113-134: 1 13-2'0.3(hi(4i: 50 
C.F.R. 21.28: 50C.F.R. 21.29: 
Eff. September 1. 19'9: 
Amended Eff.Jiilv 1 . 1998. 

SUBCHAPTER IOC - INLAND FISHING 
REGULATIONS 



Tennessee and in all of Calderwood Reser\oir. when fishing 
from boat, all valid statewide fishing licenses obtained from 
the North Carolina Wildlife Resources Commission or the 
Tennessee Wildlife Resources Agency, or the duly authorized 
agents of either, shall be reciprocal K honored for the purposes 
of fishing with hook and line or fishing in designated 
mountain trout u aters. according to the tenor thereof 

Histoiy Sote: .hnhority G.S. 113-134: 113-2 '5: 113-304: 

Eff. Februan- 1 . 19-6: 

Amended Eff. July L 1998: July 1. 1 995: July 1. 1991. 



SECTION .0200 - GENERAL REGULATIONS 

.0203 RECIPROCAL LICENSE AGREEMENTS 

(a) Virginia, in accordance with a reciprocal license 
agreement between the States of Virginia and North Carolina, 
all \alid licenses and permits authorizing sport fishing and 
legalK obtained from the Virginia Commission of Game and 
Inland Fisheries or the North Carolina Wildlife Resources 
Commission, or the duK authorized agents of either, shall be 
reciprocal!) honored for fishing b\ means of rod and reel, 
hook and line, casting, or trotline in the Dan River east of the 
Brantls Steam Plant Dam at Danville, and east of the Rte. 360 
bridge on the Staunton Ri\er arm of Ken' Reser\ oir to the 
Gaston Dam on the Roanoke Ri\er. including all tributar\ 
waters King in either Virginia or North Carolina which are 
accessible b\ boat from the main bodies of the Kerr and 
Gaston Reser\ oirs. or from the Island Creek subimpoundment. 
The Rte. 360 bridge is the first bridge crossing the Staunton 
River upstream of Kerr Reser\oir. Senior citizen and juvenile 
license exemptions authorized b\ either state \\ ill be honored 
b\ both states. In addition, all \alid fishing licenses and 
permits legalK obtained from the Virginia Game and Fish 
Commission or the North Carolina Wildlife Resources 
Commission, or the duK authorized agents of either, shall be 
reciprocalK' honored for fishing with rod and reel, hook and 
line or h\ casting in that portion of the New Ri\er between the 
confluence of the North and South forks of the New Ri\er in 
North Carolina (AIleghan\ Counr> ) and the confluence of the 
New and Little Rivers in Virginia (Gra>son Count> ). 

(b) Georgia. In accordance with a reciprocal license 
agreement between the States of North Carolina and Georgia, 
all \alid statewide fishing licenses, pennits and license 
exemptions required b> and legalK obtained from the North 
Carolina Wildlife Resources Commission or the Georgia 
Department of Natural Resources, or dul_\ authorized agents 
of either, shall be reciprocalK honored for the purposes of 
fishing with hook and line in all oi Chatuge Reser\oir 
including all tributan. waters King in either Georgia or North 
Carolina which are accessible b> boat from the main bod_\ of 
Chatuge Reservoir. .All persons fishing in the waters of 
Chatuge Reservoir be\ond the bounds of the state from which 
the\ hold a valid fishing license, shall be authorized to fish 
with said license onlv from boats not anchored to the shore or 
to a pier or boat dock connecting to the shore. 

(c) Tennessee. In that portion of Slick Rock Creek v\hich 
coincides v\ith the state line betv\een North Carolina and 



.0205 PUBLIC MOUNTAIN TROUT WATERS 

(a) Designation of Public Mountain Trout Waters. The 
waters listed herein or in 15A NCAC lOD .0004 are 
designated as Public Mountain Trout Waters and further 
classified as Wild Trout Waters or Hatcherv Supported 
Waters. For specific classifications, see Subparagraphs ( 1 ) 
through (6) of this Paragraph. These v\aters are posted and 
lists thereof are filed with the clerks of superior court of the 
counties in which thev are located: 

( 1 ) Hatchen. Supported Trout Waters. The listed 
waters in the counties in Subparagraphs ( 1 )(A)-( Y) 
are classified as Hatcher. Supported Public 
Mountain Trout Waters. Where specific 
watercourses or impoundments are listed, 
indentation indicates that the watercourse or 
impoundment listed is tributan. to the next 
preceding watercourse or impoundment listed and 
not so indented. This classification applies to the 
entire watercourse or impoundment listed except as 
othervsise indicated in parentheses follov\ing the 
listing. Other clarifying information mav also be 
included parentheticallv. The tributaries of listed 
watercourses or impoundments are not included in 
the classification unless speciflcallv set out therein. 
Othervsise. Wild Trout regulations applv to the 
tributaries. 

(A) Alleghanv Countv: 
New River (not trout water) 

Little River (Whitehead to .McCann Dam) 
Crab Creek 

Brush Creek (except where posted 
against trespass) 
Big Pine Creek 
Laurel Branch 
Big Glade Creek 
Bledsoe Creek 
Pine Sv\amp Creek 

South Fork New River (not trout water) 
Prather Creek 
Cranberrv Creek 
Pinev Fork 
MeadovN Fork 
Yadkin River (not trout v\ater) 
Roaring Ri\er (not trout vsater) 
East Prong Roaring River (that portion on 
Stone Mountain State Park) Delaved Harvest 



96 



NORTH CAROLINA REGISTER 



Julv I. 1998 



13:1 



APPROVED RULES 



Waters regulations apply. See Subparagraph 
(5) of Paragraph (a) of this Rule. 

(B) Ashe County: 

New River (not trout waters) 

North Fori< New River (Watauga Co. hne to 
Sharp Dam) 

Helton Creek (Virginia State line to New 

River) [Dela\ed Harvest rules apply. See 

Subparagraph (5) of Paragraph (a) of this 

Rule.] 

Big Horse Creek (SR 1361 bridge to 

Tuckerdale) 

Buffalo Creek (headwaters to junction of 

NC 194-88 and SR 1131) 

Big Laurel Creek 

Three Top Creek (portion not on game 

lands) 

Hoskins Fork (Watauga Count) line to 

North Fork New River) 
South Fork New River (not trout waters) 

Cranbern, Creek (Alleghanv County line 

to South Fork New River) 

Nathans Creek 

Peak Creek (headwaters to Trout Lake, 

except Blue Ridge Park\\a\ waters) 

Trout Lake (Delayed harvest regulations 

apply. See Subparagraph (5) of 

Paragraph (a) of this Rule.) 

Roan Creek 

North Beaver Creek 

Pine Swamp Creek (all forks) 

Old Fields Creek 

Mill Creek (except where posted against 

trespass) 

(C) Avery County: 

Nolichuck> Ri\er (not trout waters) 

North Toe River (headwaters to Mitchell 
County line, except where posted against 
trespass) 

Squirrel Creek 
Elk River (SR 1306 crossing to Tennessee 
State line, including portions of tributaries 
on game lands) 

Catawba River (not trout water) 
Johns River (not trout water) 
Wilson Creek [not Hatchery Supported 
trout water, see Subparagraph (2) of 
Paragraph (a) of this Rule] 

Lost Cove Creek [not Hatchery 
Supported trout water. see 
Subparagraph (4) of Paragraph (a) of 
this Rule] 
Buck Timber Creek [not Hatcherv Supported 
trout v\ater. see Subparagraph (2) of 
Paragraph (a) of this Rule] 
Cary Flat Branch [not Flatchen Supported 
trout water, see Subparagraph (2) of 
Paragraph (a) of this Rule] 



Boyde Coffey Lake 
Archie Coffey Lake 
Linville River [Land Harbor line (below dam) to 
Blue Ridge Parkway boundary line, except 
where posted against trespass] 
Milltimber Creek 
(D) Buncombe County: 

French Broad River (not trout water) 

Big Ivy Creek (Ivy River) (Dillingham Creek 
to US lQ-23 bridge) 

Dillingham Creek (Comer Rock Creek to 
Big Ivy Creek) 
Stony Creek 

Mineral Creek (including portions of 
tributaries on game lands) 
Comer Rock Creek ( including tributaries, 
except Walker Branch) 
Reems Creek (Sugar Camp Fork to US 19-23 
bridge, except where posted against trespass) 
Swannanoa River (SR 2702 bridge near 
Ridgecrest to Sayles Bleacherv in Asheville, 
except where posted against trespass) 
Bent Creek (headwaters to N.C. Arboretum 
boundary line, including portions of 
tributaries on game lands) 

Lake Powhatan 
Cane Creek (headwaters to SR 3 1 38 bridge) 

(E) Burke County: 

Catawba River (not trout water) 

South Fork Catawba River (not trout water) 
Henry Fork (lower South Mountains 
State Park line downstream to SR 1919 at 
Ivv' Creek) 

.lacob Fork (Shinnv Creek to lower 
South Mountain State Park boundary) 
Delaved Harvest 

Regulations apply. See 

Subparagraph (a)(5) of this Rule. 
Johns River (not trout water) 

Parks Creek (portion not on game lands 
not trout water) 

Carroll Creek (game lands portion 
above SR 1405 including tributaries) 
Linville River (game lands portion below the 
Blue Ridge Parkway including portions of 
tributaries on game lands and from first 
bridge on SR 1223 below Lake James 
powerhouse to Muddy Creek) 

(F) Caldwell County: 
Catawba River (not trout water) 

Johns River (not trout water) 

Wilson Creek (Phillips Branch to Browns 
Mountain Beach dam. except v\here 
posted against trespass) 

Estes Mill Creek (not trout water) 
Thoips Creek (falls to NC 90 bridge) 
Mulberry Creek (portion not on game lands 
not trout water) 



13:1 



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Jiilv 1, 1998 



97 



APPROVED RULES 



Boone Fork (not Hatchen, Supported 
trout water. See Subparagraph (2) of 
Paragraph (a) of this Rule) 
Boone Fork Pond 
(G) Cherokee Count) : 

Hiwassee River (not trout water) 

Shuler Creek (headwaters to Tennessee line, 

except where posted against trespass 

including portions of tributaries on game 

lands) 

North Shoal Creek (Crane Creek) 

(headwaters to SR 1325. including portions 

of tributaries on game lands) 

Persimmon Creek 

Davis Creek (including portions of 

tributaries on game lands) 

Bald Creek (including portions of 
tributaries on game lands) 
Beaver Dam Creek (headwaters to SR 1326 
bridge, including portions of tributaries on 
game lands) 
Valle\ Ri\er 

H\att Creek (including portions of 
tributaries on game lands) 
Webb Creek (including portions of 
tributaries on game lands) 
Junaluska Creek (Ashturn Creek to 
Valle\ Ri\er. including portions of 
tributaries on game lands) 
(H) Cla\ Count) : 

Hiwassee Ri\er (not trout water) 

Fires Creek (first bridge abo\e the lower 
game land line on US Forest Ser\ice road 
442toSR 1300) 

Tusquitee Creek (headwaters to lower SR 
1300 bridge, including portions of Bluff 
Branch on game lands) 

Tuni Creek (including portions of 
tributaries on game lands) 
Chatuge Lake (not trout water) 
Shooting Creek (SR 1349 bridge to US 64 
bridge at SR 1338) 

Hothouse Branch (including portions of 
tributaries on gamelands) 
Vineyard Creek (including portions of 
tributaries on game lands) 
(I) Graham Counts: 

Little Tennessee River (not trout water) 

Calderwood Reservoir (Cheoah Dam to 
Tennessee State line) 
Cheoah River (not trout water) 
Yellow Creek 

Santeelah Reservoir (not trout water) 
West Buffalo Creek 

Huffman Creek (Little Buffalo 
Creek) 
Santeelah Creek (Johns Branch to 
mouth including portions of 



tributaries w ithin this section located 
on game lands, excluding Johns 
Branch) 
Big Snowbird Creek (old railroad 
junction to mouth, including portions of 
tributaries on game lands) 
Mountain Creek (game lands boundan. to 
SR 1138 bridge)" 

Long Creek (portion not on game 
lands) 

Tulula Creek (headwaters to lower 
bridge on SR 1275) 
Franks Creek 
Cheoah Reservoir 
Fontana Reservoir (not trout water) 
Stecoah Creek 
Sawyer Creek 

Panther Creek (including portions of 
tributaries on game lands) 
(J) Hawvood Countv: 

Pigeon River (not trout water) 

Hurricane Creek (including portions of 
tributaries on game lands) 
Cold Springs Creek (including portions of 
tributaries on game lands) 
Jonathans Creek - lower (concrete bridge in 
Dellwood to Pigeon River) 
Jonathans Creek - upper [SR 1302 bridge 
(west) to SR 1307 bridge] 
Hemphill Creek 

West Fork Pigeon River (triple arch 

bridge on highway NC 2 1 5 to Champion 

International property line, including 

portions of tributaries within this section 

located on game lands, except Middle 

Prong) 

Richland Creek (Russ Avenue bridge to US 

19A-23 bridge) Delayed Harvest Regulations 

appK. See Subparagraph (a)(5) of this Rule. 

(K) Henderson Countv : 

(Rocky) Broad River (one-half mile north of 
Bat Cave to Rutherford Countv line) 
Green River - upper (mouth of Bobs Creek 
to mouth of Rock Creek) 
Green River - lower (Lake Summit Dam to 
Polk County line) 

Camp (Treek (SR 1919 to Polk Countv 
line) 

(Big) Hungn River 
Little Hungrv River 
French Broad River (not trout water) 
.Mills River (not trout water) 

North Fork Mills River (game lands 
portion belov\ the Hendersonville 
watershed dam). Delaved Harvest 
Regulations applv. See Subparagraph 
(a)(5) of this Rule. 
(L) Jackson County : 



98 



NORTH CAROLINA REGISTER 



July /. 1998 



13:1 



APPROVED RULES 



Tuckasegee River (confluence with West 
Fork Tuckasegee River to SR 1302 bridge at 
Wilmot) Delayed Harvest Regulations apply 
to that portion between NC 107 bridge at 
Love Field and NC 1 16 bridge at Webster. 
See Subparagraph (a)(5) of this Rule. 
Scott Creek (entire stream, except where 
posted against trespass) 

Dark Ridge Creek (.lones Creek to Scotts 

Creek) 

Buff Creek (SR 1457 bridge below Bill 

Johnson's place to Scott Creek) 
Savannah Creek (Headwaters to Bradley's 
Packing House on NC 116) 

Greens Creek (Greens Creek Baptist 

Church on SR 1 730 to Savannah Creek) 
Cullowhee Creek (Tilley Creek to 
Tuckasegee River) 
Bear Creek Lake 

Wolf Creek [not Hatchery Supported trout 
water, see Subparagraph (2) of Paragraph (a) 
of this Rule] 

Wolf Creek Lake 

Balsam Lake 
Tanasee Creek [not Hatchery Supported 
trout water, see Subparagraph (2) of 
Paragraph (a) of this Rule] 

Tanasee Creek Lake 
West Fork Tuckasegee River (Shoal Creek to 
existing water level of Little Glenville Lake) 

Shoal Creek (Glenville Reservoir 

pipeline to mouth) 
(M) Macon County: 

Little Tennessee River (not trout water) 

Nantahala River (Nantahala Dam to Swain 
Count) line) Dela>ed Harvest Regulations 
apply to the portion from Whiteoak Creek to 
the Nantahala Power and Light powerhouse 
discharge canal. See Subparagraph (a)(5) of 
this Rule. 

Queens Creek Lake 

Burningtown Creek (including portions of 
tributaries on game lands) 
Cullasaja River (Sequoah Dam to US 64 
bridge near junction of SR 1672. including 
portions of tributaries on game lands, 
excluding those portions of Big Buck Creek 
and Turtle Pond Creek on game lands. Wild 
trout regulations appl\ . See Subparagraphs 
(2) and (6) of Paragraph (a) of this Rule.) 

Ellijay Creek (except where posted 

against trespass, including portions of 

tributaries on game lands) 

Skittv Creek 
Cliffside Lake 

Cartoogechaye Creek (US 64 bridge to 

Little Tennessee River) 

Tessentee Creek (Nichols Branch to 



Little Tennessee River, except where 
posted against trespassing) 
Savannah River (not trout water) 

Big Creek (base of falls to Georgia State 
line, including portions of tributaries 
within this Section located on game 
lands) 
(N) Madison County: 

French Broad River (not trout water) 

Shut-In Creek (including portions of 

tributaries on game lands) 

Spring Creek (^junction of NC 209 and NC 

63 to lower US Forest Service boundaiy line, 

including portions of tributaries on game 

lands) 

Meadow Fork Creek 

Roaring Fork (including portions of 
tributaries on game lands) 
Little Creek 
Max Patch Pond 
Mill Ridge Pond 
Big Laurel Creek (Mars Hill Watershed 
boundary to Rice's Mill Dam) 

Shelton Laurel Creek (headwaters to NC 
208 bridge) 

Big Creek (headwaters to lower game 
land boundar\. including tributaries) 
Mill Creek 
Big Pine Creek 

Puncheon Fork (Hampton Creek to 
Big Laurel Creek) 
(O) McDowell County: 

Catawba River (portion not on game lands, not 
trout water) 

Buck Creek (portion not on game lands, not 
trout water) 

Little Buck Creek (game land portion 
including portions of tributaries on game 
lands) 
Curtis Creek (Newberry Creek to US 70 
bridge) 

North Fork Catawba River (headwaters to 
SR 1569 bridge) 

Armstrong Creek (Cato Holler line 
downstream to upper Greenlee line) 
Mill Creek (upper railroad bridge to U.S. 70 
Bridge, except where posted against 
trespass) 
(P) Mitchell County: 

Nolichuck) River (not trout water) 

Big Rock Creek (headwaters to NC 226 
bridge at SR 1307 intersection) 

Little Rock Creek (Green Creek Bridge 

to Big Rock Creek, except where posted 

against trespass) 

Cane Creek (SR 1219 to Nolichucky River) 

Grassy Creek (East Fork Grassy Creek to 

mouth) 



13:1 



NORTH CAROLINA REGISTER 



Julv 1, 1998 



99 



APPROVED RILES 



East Fork Grass\ Creek 
North Toe Ri\er (Aven, Count\ line to SR 
1121 bridge) 
(Q) Polk Count> : 

Broad Ri\er (not trout water) 

North Pacolet River (Pacolet Falls to NC 108 
bridge) 

Fork Creek (Fork Creek Church on SR 
1100 to North Pacolet River) 
Big Fall Creek (portion abo\e and below 
water supply reservoir) 
Green River (Henderson Count) line to 
mouth of Brights Creek) 

Little Cove Creek (including portions of 
tributaries on game lands) 
Cove Creek (including portions of 
tributaries on game lands) 
Camp Creek [Henderson County line (top 
of falls) to Green Ri\er] 
Fulloms Creek (SR 1 154 to Green Ri\er. 
including portions of tributaries on game 
lands) 
(R) Rutherford Count) : 

(Rock\) Broad River (Henderson County 
line to L'S 04 74 bridge, except where posted 
against trespass) 
(S) Stokes Count\ : 

Dan Ri\er (SR 1416 bridge downstream to a 
point 200 yards below the end of SR 1421 ) 
(T) Surr\ Count\ : 

Yadkin Ri\er (not trout water) 

Ararat River (SR 1727 downstream to the 
Business US 52 bridge) Dela_\ed Har\est 
regulations appK. See Subparagraph (5) of 
Paragraph (a) of this Rule. 

Stewarts Creek (not trout water) 

Pauls Creek (Virginia State line to 0.3 
mile below SR 1625 bridge - lower 
Caudle property line) 
Fisher Ri\er (Cooper Creek) (Virginia 
State line to NC 89 bridge) 

Little Fisher Ri\er (Virginia State 
line to NC 89 bridge) 
(U) Swain County: 

Little Tennessee River (not trout water) 

Calderwood Reservoir (Cheoah Dam to 
Tennessee State line) 
Cheoah Reser\oir 
Fontana Reser\oir (not trout water) 
Alarka Creek 

Nantahala Ri\er (Macon Count} line to 
existing Fontana Reservoir water le\el) 
Tuckasegee Ri\er (not trout water) 

Deep Creek (Great Smok_\ Mountains 
National Park boundary line to 
Tuckasegee Ri\er) 

ConnelK Creek (including portions of 
tributaries on eame lands) 



(V) Trans\l\ania County: 

French Broad River function of west and north 
forks to US 276 bridge) 

Davidson Ri\er (A\ery Creek to Ecusta 
intake) 

East Fork French Broad River (Glad\ Fork 
to French Broad River) 
Middle Fork French Broad Ri\er 
West Fork French Broad River (SR 1312 
and SR 1309 intersection to junction of west 
and north forks, including portions of 
tributaries within this section located on 
game lands) 
(W) Watauga County : 

New Ri\er (not trout waters) 

North Fork New Ri\er (from confluence 
with Maine and Mine branches to Ashe 
Count} line) 

Maine Branch (headwaters to North Fork 
New Ri\er) 

South Fork New Ri\ er (not trout water) 
Meat Camp Creek 

Norris Fork Creek 
Howards Creek (downstream from lower 
falls) 
Middle Fork New Ri\er (Lake Chetola Dam 
to South Fork New Ri\ er) 
Yadkin Riser (not trout water) 

Ston\ Fork (headwaters to Wilkes Counr\ 
line) 

Elk Creek (headxsaters to gravel pit on SR 
1 508. except where posted against trespass) 
Watauga River (SR 1559 at Foscoe downstream 
to NC 105 bridge) Delaved Harvest Regulations 
applv . See Subparagraph (5) of Paragraph (a) of 
this Rule. 
Beech Creek 

Buckeve Creek Reservoir 
Coffee Lake 
Laurel Creek 

Cove Creek (SR 1233 bridge at Zionv ille to SR 
1233 bridge at Amantha) 
Dutch Creek (second bridge on SR 1134 to 
mouth) 

Boone Fork (headwaters to SR 1562) 
(.\) Wilkes County : 

Yadkin River (not trout water) 
Roaring River (not trout water) 

East Prong Roaring River (Bullhead 
Creek to Brewer's Mill on SR 1943) 
(Delaved harvest regulations appK to 
portion on Stone Mountain State Park) 
See Subparagraph (5) of Paragraph (a) of 
this Rule. 

Stone Mountain Creek (Delaved 
Harvest Regulations appK. See 
Subparagraph (5) of Paragraph (a) of 
this Rule.) 



100 



NORTH CAROLINA REGISTER 



July I. J998 



13:1 



APPROVED RULES 



' 



(2) 



Middle Prong Roaring River (headwaters to 
second bridge on SR 1 736) 
Bell Branch Pond 
BoundaPi Line Pond 
West Prong Roaring River (not trout waters) 
Pike Creek 

Pike Creek Pond 
Reddies River (not trout water) 

Middle Fork Reddies Ri\er (Clear Prong) 
(headwaters to bridge on SR 1 580) 
South Fork Reddies Ri\er 
(headwaters to confluence with 
Middle Fork Reddies River) 
North Fork Reddies River (Vannov 
Creek) (headwaters to Union School 
bridge on SR 1559) 

Darnell Creek (North Prong 
Reddies Riser) (downstream ford 
on SR 1569 to confluence with 
North Fork Reddies River) 
Lewis Fork Creek (not trout water) 

South Prong Lewis Fork (headwaters to 
Lewis Fork Baptist Church) 

Fall Creek (except portions posted 
against trespass) 
(Y) Yance\ Count>: 

Nolichuck\ Ri\er (not trout water) 

Cane River [Bee Branch (SR 1110) to 
Bowlens Creek] 

Bald Mountain Creek (except portions 
posted against trespass) 

Indian Creek (not trout water) 

Price Creek (^junction of SR I 120 and 
SR 1121 to Indian Creek) 
North Toe Ri\er (not trout water) 
South Toe River (Clear Creek to lower 
boundarx line of Yance\ Countx recreation 
park except where posted against trespass) 
Wild Trout W aters. All waters designated as Public 
Mountain Trout Waters on the game lands listed in 
Subparagraph (b)(2) of 1 5A NCAC lOD .0004. are 
classified as Wild Trout Waters unless specifically 
classified otherwise in (A)(1) of this Rule. The 
trout waters listed in this Subparagraph are also 
classified as Wild Trout Waters. 

(A) Alleghan\ Countx: 

Big Sand\ Creek (portion on Stone Mountain 

State Park ) 

Rame\ Creek (entire stream) 

Stone Mountain Creek (that portion on Stone 

Mountain State Park) 

(B) Ashe Countx: 

Big Horse Creek (Virginia State Line to SR 
1361 bridge) Catch and Release Artificial Lures 
Onl\ Regulations apply. See Subparagraph 
(a)(3) of this Rule. 

(C) A\erx Countx': 
Birchfield Creek (entire stream) 



Cow Camp Creek (entire stream) 

Cranberry Creek (entire stream) 

Gragg Pond (entire stream) 

Horse Creek (entire stream) 

Jones Creek (entire stream) 

Kentucky Creek (entire stream) 

North Harper Creek (entire stream) 

Plumtree Creek (entire stream) 

Roaring Creek (entire stream) 

Rockhouse Creek (entire stream) 

South Harper Creek (entire stream) 

Webb Prong (entire stream) 

Wilson Creek (Catch and Release Artificial 
Lures OnK Regulations appK. See 
Subparagraph (a)(3) of this Rule.) 

(D) Buncombe Countx: 

Caner Creek (game land portion) (Catch and 
Release Artificial Lures onlx regulations appl>. 
See Subparagraph (3) of Paragraph (a) of this 
Rule.) 

(E) Burke Countx: 

.All waters located on South Mountain State 
Park, except the main stream of Jacob Fork 
between the mouth of Shinny Creek and the 
lower park boundarx where delaxed harvest 
regulations, and Henrx Fork and tributaries 
where catch and release artificial lures onK 
regulations appK. See Subparagraphs (3) and 
(5) of Paragraph (a) of this Rule. 
Nettle Branch (gar .- lanJ portion) 

(F) Caldwell Count): 

Buffalo Creek (Watauga Countx line to Long 
Ridge Branch) 

Joes Creek (Watauga Countx line to first falls 
upstream of the end of SR 1574) 
Rockhouse Creek (entire stream) 

(G) Graham Countx: 

South Fork SqualK Creek (entire stream) 
SqualK Creek (entire stream) 
(H) Jackson Countx : 

Gage Creek (entire stream) 

North Fork Scott Creek (entire stream) 

Tanasee Creek (entire stream) 

Whitewater Ri\er (downstream from SiKer Run 

Creek to South Carolina State line) 

Wolf Creek (entire stream, except Balsam Lake 

and Wolf Creek Lake) 

(1) Madison Countx: 

Spillcom Creek (entire stream) [Wild 
TroutNatural Bait Waters regulations appK. 
See Subparagraph (6) of Paragraph (a) of this 
Rule.] 

(J) Mitchell Countx: 

Green Creek (headwaters to Green Creek 
Bridge, except w here posted against trespass) 
Little Rock Creek (headwaters to Green Creek 
Bridge, including all tributaries, except where 
posted against trespass) 



13:1 



NORTH CAROLINA REGISTER 



July 1, 1998 



101 



APPRO} ED RULES 



Wiles Creek (game land boundan to mouth) 
(K) Trans> Kania Count) : 

Whitewater River (downstream from SiK er Run 
Creek to South Carolina State line) 
(L) Watauga Count}. : 

Boone Fork (Blue Ridge Parkway boundan line 
to Watauga River) [Catch and Release FK 
Fishing OnK regulations appK. See 

Subparagraph (4) of Paragraph (a) of this Rule.] 
Dutch Creek (headwaters to second bridge 
on SRI 134) 

Howards Creek (headwaters to lower falls) 
Watauga River (A\er\ County line to SR 
1559)^ 
(M) Wilkes Count>: 

Big Sand) Creek (portion on Stone Mountain 
State Park) 

Garden Creek (portion on Stone Mountain State 
Park) 

Harris Creek and tributaries [portions on Stone 
Mountain State Park) [Catch and Release 
Artificial Lures OnK regulations appK. See 
Subparagraph (4) of Paragraph (a) of this Rule.] 
Widow Creek (portion on Stone Mountain State 
Park) 
(N) ^'ancev Count}: 

Lickskillet Creek (entire stream") 
Middle Creek (game land boundar} to mouth) 
Rock Creek (game land boundan. to mouth) 
South Toe Ri\er (game land boundar} 
downstream to Clear Creek) 
(3) Catch and Release Artificial Lures OnK Trout 
Waters. Those portions of designated wild trout 
waters as listed in this Subparagraph, including 
tributaries except as noted, are funher classified as 
Catch and Release Artificial Lures Onl> waters. 
OnK artificial lures having one single hook ma\ be 
used. No fish may be han'ested or be in possession 
while fishing these streams: 

(A) Ashe Count} : 

Big Horse Creek (Virginia State line to SR 1361 
bridge excluding tributaries) 
Three Top Creek (portion located on Three Top 
Mountain Game Lands) 

(B) Aven. County: 

Wilson Creek (game land portion) 

(C ) Buncombe Count} : 

Carter Creek (game land portion) 

(D) Burke Count}: 

Henr} Fork (portion on South Mountains State 
Park) 

(E) .lackson Count) : 
Flat Creek 

Tuckasegee River (upstream of Clarke property ) 

(F) McDowell Count}: 
Newberr} Creek (game land portion) 

(G) Wilkes Count}: 

Harris Creek (portion on Stone Mountain State 



Park) 
(H) Yancey Count) : 
Lower Creek 
Upper Creek 

(4) Catch and Release Artificial Flies OnK Trout 
Waters. Those portions of designated wild trout 
waters as listed in this Subparagraph, including 
tributaries except as noted, are further classified as 
Catch and Release'Fly Fishing OnK waters. On!)- 
artificial flies having one single hook ma} be used. 
No fish ma\ be ban ested or be in possession while 
fishing these streams: 

(A) Avery Count}: 

Lost Cove Creek (game land portion, excluding 
Gragg Prong and Rockhouse Creek) 

(B) Trans} Kania Count): 

Davidson River (headwaters to Aven. Creek, 
excluding Aven. Creek. Looking Glass Creek 
and Grogan Creek) 

(C) Watauga Count} : 

Boone Fork (portion bet\\een Blue Ridge 
Parkwa) boundan. and the Watauga River) 

(D) Yancev Count): 

South Toe River (portion from the concrete 
bridge above Black Mountain Campgroup 
downstream to game land boundar}. excluding 
Camp Creek and Big Lost Cove Creek) 

(5) Delaved Harvest Trout Waters. Those portions of 
designated Hatcher} Supported Trout W aters as 
listed in this Subparagraph, excluding tributaries 
except as noted, are further classified as Delaved 
Harvest Waters. Between 1 October and one-half 
hour after sunset on the Fridav before the first 
Saturdav of the following June, inclusive, it is 
unlaw ful to possess natural bait and onK artificial 
lures with one single hook mav be used. No fish 
mav be harvested or be in possession v\hile fishing 
these streams during this time. These waters are 
closed to fishing betv\een one-half hour after sunset 
on the Fridav before the first Saturdav in June and 
6:00 a.m. on the first Saturdav in June. At 6:00 
a.m. on the first Saturdav in June these streams 
open for fishing under Hatchen. Supported Waters 
rules: 

(A) Ashe Count): 
Trout Lake 

Helton Creek (Virginia state line to New River) 

(B) Burke Count}: 

Jacob Fork (Shinnv Creek to lower South 
Mountains State Park boundan ) 

(C) Ha)vvood County: 

Richland Creek (Russ .Avenue bridge to L'S 
19A-23 bridge) 

(D) Henderson Count} : 

North Fork Mills River (game land portion 
below the Hendersonville watershed dam) 

(E) Jackson Count}: 

Tuckaseaee River (NC 107 bridtie at Love Field 



102 



NORTH CAROLINA REGISTER 



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APPROVED RULES 



Downstream to NC 116 bridge at Webster) 

(F) Macon Count} : 

Nantahala River (portion from Whiteoak Creek 
to the Nantahala Power and Light power house 
discharge canal) 

(G) Surr\ Count> : 

Ararat River (SR 1727 downstream to Business 
. US 52 bridge) 
(H) Watauga Count) : 

Watauga River (SR 1559 bridge at Foscoe 

downstream to NC 105 bridge) 
(I) Wilkes Count} : 

East Prong Roaring Ri\er (from Bullhead Creek 

dov\nstream to the Stone Mountain State Park 

low er boundary ) 

Stone Mountain Creek (from falls at Allegheny 

Count} line to confluence with East Prong 

Roaring River and Bullhead Creek in Stone 

Mountain State Park) 
(6) Wild TroutTMatural Bait Waters. Those portions of 
designated Wild Trout Waters as listed in this 
Subparagraph, including ti"ibutaries except as noted. 
are further classified as Wild TroutTvlatural Bait 
Waters. All artificial lures and natural baits, except 
li\e fish, are allowed provided the} are tlshed using 
onl} one single hook. The creel limit, size limit, 
and open season are the same as other Wild Trout 
Waters [see 15A NCAC IOC .0305(a)]. 

(A) Cherokee Count} : 

Tellico River (Fain Ford to Tennessee state line 
excluding tributaries) 

(B) Cla} Count} : 

Buck Creek (game land portion downstream of 
US 64 bridge) 

(C) Graham Count} : 
Deep Creek 

Long Creek (game land portion) 

(D) Jackson Count} : 

Chattooga River (SR 1100 bridge to South 
Carolina state line) 

(lower) Fowler Creek (game land portion) 
Scotsman Creek (game land portion) 

(E) Macon Count} : 

Chattooga River (SR 1100 bridge to South 

Carolina state line) 

Jarrett Creek (game land portion) 

Kimse} Creek 

Overflow Creek (game land portion) 

Park Creek 

Tellico Creek (game land portion) 

Turtle Pond Creek (game land portion) 

(F) Madison Countx: 

Spillcom Creek (entire stream, excluding 
tributaries) 

(G) Trans} Kania Count} ; 

North Fork French Broad River (game land 

portions downstream of SR 1326) 

Thompson River (SR 1 152 to South Carolina 



state line, except where posted against trespass, 
including portions of tributaries within this 
section located on game lands) 
(b) Fishing in Trout Waters 

(1) Hatcher} Supported Trout Waters. It is unlawful to 
take tlsh of an} kind b} an} manner whatsoever 
from designated public mountain trout waters 
during the closed seasons for trout fishing. The 
seasons, size limits, creel limits and possession 
limits apply in all waters, whether designated or 
not. as public mountain trout waters. Except in 
power reservoirs and cit}' water suppN reservoirs so 
designated, it is unlawful to fish in designated 
public mountain trout waters w ith more than one 
line. Night fishing is not allowed in most hatcher} 
supported trout waters on game lands [see 15A 
NCAC lOD. 0004(b)(1)]. 

(2) Wild Trout Waters. Except as otherwise provided 
in Subparagraphs (3). (4). and (6) of Paragraph (a) 
of this Rule, the following rules appK to fishing in 
wild trout waters. 

(A) Open Season. There is a }ear round open 
season for the licensed taking of trout. 

(B) Creel Limit. The daiK creel limit is four 
trout. 

(C) Size Limit. The minimum size limit is seven 
inches. 

(D) Manner of Taking. OnK artificial lures 
having onK one single hook ma} be used. 
No person shall possess natural bait while 
fishing wild trout waters except those waters 
listed in 15A NCAC IOC .0205(a)(6). 

(E) Night Fishing. Fishing on wild trout waters 
is not allowed between one-half hour after 
sunset and one-half hour before sunrise. 

Hisloij Note: Authority U.S. 1 13-134: 113-2':: 1 13-292: 
Eft: February 1. 19' 6: 

Amended Eff. July 1. 199S: July 1. 199': July 1. 1996: July 1. 
1995: July 1. 1994: July I. 1993: October 1. 1992. 

SECTION .0400 - NONGAME FISH 

.0401 MANNER OF TAKING NONGAME FISHES: 
PURCHASE AND SALE 

(a) Except as permitted by the rules in this Section, it is 
unlawful to take nongame fishes from the inland fshing 
waters of North Carolina in an} manner other than with hook 
and line or grabbling. Nongame fishes ma} be taken by hook 
and line or grabbling at an} time without restriction as to size 
limits or creel limits, except that no trotlines or set-hooks ma} 
be used in the impounded waters located on the Sandhills 
Game Land or in designated public mountain trout waters, and 
in Lake Waccamaw. trotlines or set-hooks ma} be used onl} 
from October 1 through April 30. The season for taking 
nongame fishes bv other hook and line methods in designated 
public mountain trout waters shall be the same as the trout 
fishina season. 



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NORTH CAROLINA REGISTER 



July J, 1998 



103 



APPROy ED RULES 



(b) Nongame fishes, except bowfln. taken b\ hook and line, 
grabbling or b\ licensed special devices ma% be sold. Eels 
less than six inches in length taken from inland vsaters ma\ not 
be sold and possession is limited to 200 per day for bait. 

(c) Freshwater mussels ma\ onl\ be taken from impounded 
waters, except mussels shall not be taken in Lake W accamaw 
and in Universit\ Lake in Orange Counts . 

(d) In the posted Community Fishing Program waters listed 
below it is unlawful to take channel, white or blue catfish 
(forked tail catfish) b\ means other than hook and line: the 
daily creel limit for forked tail catfish is six fish in aggregate: 

Cedarock Pond. Alamance Counts 

Frank Liske Park Pond. Cabarrus County 

Lake Rim. Cumberland Counts 

C.G. Hill Memorial Park Pond. Fors>th County 

KemersN ille Lake. Forssth Count} 

Winston Pond. ForsNlh County 

Bur-Mil Park Ponds. Guilford County 

Oka T. Hester Pond. Guilford County 

San-Lee Park Ponds. Lee County 

Kinston Neusewas Park Pond. Lenoir Count\ 

Freedom Park Pond. Vlecklenburg Counts 

Hornet's Nest Pond. Mecklenburg Count) 

McAlpine Lake. Mecklenburg County 

Lake Luke Marion. Moore Counts 

Riser Park North Pond. Pin Counts 

Big Elkin Creek. Surrs Count) 

Apex Lake. Wake Counts 

Lake Crabtree. W ake County 

Shelles Lake. W ake Counts 

Simpkins Pond. W ake Counts 

Lake Toisnot. Wilson Counts' 

Hisloiy \o!e: Temporary Amendment Eff. December 1 . 

1994:' 

Authorin-G.S. 113-154: 1 13-2 '2: 113-292: 

Eff. Fehnian- 1 . 19' 6: 

Amended Eff. July I. 1998: July 1. 1996: July 1. 1995: July 1. 

1994: July 1. 1993: .May 1. 1992. 

SUBCHAPTER lOD - GAME LANDS REGULATIONS 

.0002 GENERAL REGUL.^TIONS REGARDING 
USE 

(a) Trespass. Entrs on game lands for purposes other than 
hunting, trapping or fishing shall be as authorized bs the 
landossner and there shall be no remosal of ans plants or pans 
thereof or other materials. s\ ithout the ssritten authorization 
of the landossner. Iras el is restricted, except bs authorized 
personnel, to direct access from SR 2074 to the established 
ssaterfossl siessing stands on Gossan's Ford Waterfossl 
Refuge. The Wildlife Resources Commission mas designate 
areas on game lands as either an .Archer\ Zone. Safety Zone 
or Restricted Zone. 

( 1 I Archer) Zone. On portions of game lands posted as 
".Archer) Zones" hunting is limited to boss and 
arross hunting onl). 
(2) Safers Zone. On portions of game lands posted as 



"Safets Zones" hunting is prohibited. No person 
shall hunt or discharge a tlrearm or boss and arrosv 
v\ ithin. into, or across a posted safet) zone on any 
game land. 

(3) Restricted Zone. Portions of game lands posted as 
"Restricted Zones" are closed to all use by the 
general public, and entr) upon such an area for any 
purpose is prohibited s\ ithout first basing obtained 
specific ssritten approval of such entrs or use from 
an authorized agent of the Wildlife Resources 
Commission. 

(4) Establishment of Archers and Restricted Zones. 
The Commission shall conduct a public input 
meeting in the area where the game land is located 
before establishing an) archers or restricted zone. 
After the input meeting the public comments shall 
be presented to an official Commission meeting for 
final determination. 

(b) Littering. No person shall deposit ans litter, trash, 
garbage, or other refuse at ans place on ans game land except 
in receptacles prosided for disposal of such refuse at 
designated camping and target-shooting areas. No garbage 
dumps or sanitar) landfills shall be established on an) game 
land bs ans person, flmi. corporation, count) or municipality, 
except as permitted b) the landossner. 

(c) Possession of Hunting Desices. It is unlassful to 
possess a firearm or boss and arross on a game land at an) 
time except during the open hunting seasons or hunting dass 
for game birds or game animals, other than fox. thereon unless 
said desice is cased or not immediatels asailable for use. 
pros ided that such desices ma) be possessed and used b) 
persons participating in field trials on field trial areas and on 
target shooting areas designated bs the landossner. and 
possessed in designated camping areas for defense of persons 
and propert): and provided further that .22 caliber pistols with 
barrels not greater than seven and one-half inches in length 
and shooting onl) short, long, or long rifle ammunition mas be 
carried as side anns on game lands at an) time other than by 
hunters during the special boss and arross and muzzle-loading 
firearms deer hunting seasons and bs individuals training dogs 
during closed season ssithout field trial authorization. This 
Rule shall not prevent possession or use of a boss and arross 
as a licensed special fishing des ice in those svaters svhere such 
use is authorized. During the closed flream:s seasons on big 
game (deer. bear. boar. s\ lid turke) ). no person shall possess 
a shotgun shell containing larger than No. 4 shot or an) rifle 
or pistol larger than a .22 caliber rimfire sshile on a game land, 
except that shotgun shells containing an) size steel or 
non-toxic shot ma) be used sshile svaterfossl hunting. 
Furthermore, onl) shotguns ssith an) size shot ma) be 
possessed during the big game season for turkes . No person 
shall hunt ssith or hase in possession ans shotgun shell 
containing lead or toxic shot sshile hunting on ans posted 
ssaterfos\l impoundment on ans game land, or sshile hunting 
ssaterfoss 1 on Butner-Falls of Neuse Game Land or Ness Hope 
Game Land, except shotgun shells containing lead buckshot 
mas be used sshile deer hunting. 

(d) Game Lands License; Hunting and Trapping 



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July J. J 998 



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APPROVED RULES 



( 1 ) Requirement. Except as provided in Subparagraph 
(2) of this Paragraph, any person entering upon any 
game land for the purpose of hunting, trapping, or 
participating in dog training or field trial activities 
shall have in his possession a game lands license in 
addition to the appropriate hunting or trapping 
licenses. 

(2) Exceptions 

(A) A person under 16 years of age may hunt on 
game lands on the license of his parent or 
legal guardian. 

(B) The resident and nonresident sportsman's 
licenses include game lands use privileges. 

(C) Judges and nonresidents participating in field 
trials under the circumstances set forth in 
Paragraph (e) of this Rule may do so without 
the game lands license. 

(D) On the game lands described in Rule 
.0003(e)(2) of this Subchapter the game 
lands license is required only for hunting 
doves: all other activities are subject to the 
control of the landowners. 

(e) Field Trials and Training Dogs. A person serving as 
judge of a field trial which, pursuant to a written request from 
the sponsoring organization, has been oftlcialK authorized in 
v\riting and scheduled for occurrence on a game land b\ an 
authorized representative of the Wildlife Resources 
Commission, and any nonresident participating therein may do 
so without procuring a game lands license, provided such 
nonresident has in his possession a valid hunting license 
issued by the state of his residence. An\ individual or 
organization sponsoring a field trial on the Sandhills Field 
Trial grounds or the Laurinburg Fox Trial facility shall file 
w ith the commission's agent an application to use the area and 
facility accompanied b\ the facility use fee computed at the 
rate of one hundred dollars ($100.00) for each scheduled day 
of the trial. The total facility use fee shall cover the period 
from 12:00 noon of the da\ preceding the first scheduled day 
of the trial to 10:00 a.m. of the day following the last 
scheduled da> of the trial. The facility use fee shall be paid 
for all intemiediate days on which for an\ reason trials are not 
run but the building or facilities are used or occupied. A fee 
of twenty-five dollars (S25.00) per da> shall be charged to 
sporting, educational, or scouting groups for scheduled e\ ents 
utilizing the club house onK . No person or group of persons 
or any other entity shall enter or use in any manner an\ of the 
pinsical facilities located on the Laurinburg Fox Trial or the 
Sandhills Field Trial grounds without first having obtained 
specific written approval of such entry or use from an 
authorized agent of the Wildlife Resources Commission, and 
no such entry or use of an\ such facility shall exceed the scope 
of or continue beyond the specific approval so obtained. The 
Sandhills Field Trial facilities shall be used onh for field trials 
scheduled with the approval of the Wildlife Resources 
Commission. No more than 16 days of field trials may be 
scheduled for occurrence on the Sandhills facilities during an\ 
calendar month, and no more than four da\s max be scheduled 
during any calendar week: pro\ ided. that a field trial requiring 



more than four days may be scheduled during one week upon 
reduction of the maximum number of days allowable during 
some other week so that the monthly maximum of 16 days is 
not exceeded. Before October 1 of each year, the North 
Carolina Field Trial Association or other organization desiring 
use of the Sandhills facilities between October 22 and 
November 18 and between December 3 and March 31 shall 
submit its proposed schedule of such use to the Wildlife 
Resources Commission for its consideration and approval. 
The use of the Sandhills Field Trial facilities at any time by 
individuals for training dogs is prohibited: elsewhere on the 
Sandhills Game Lands dogs may be trained only on Mondays. 
Wednesda>s and Saturdavs from October 1 through April 1. 
Dogs may not be trained or permitted to run unleashed from 
April I through August 1 5 on any game land located west of 
1-95. except when participating in field trials sanctioned by the 
Wildlife Resources Commission. Additionally, on game lands 
located west of 1-95 where special hunts are scheduled for 
sportsmen participating in the Disabled Sportsman Program, 
dogs may not be trained or allowed to run unleashed during 
legal big game hunting hours on the dates of the special hunts. 
(0 Trapping. Subject to the restrictions contained in 1 5A 
NCAC lOB .01 10. .0302 and .0303. trapping of furbearing 
animals is pennitted on game lands during the applicable open 
seasons, except that trapping is prohibited: 

(1) on the field trial course of the Sandhills Game 
Land: 

(2) on the Harmon Den and Sherwood bear sanctuaries 
in Haywood County: 

(3) in posted "safety zones" located on any game land: 

(4) b\ the use of multiple sets (with anchors less than 
15 feet apart) or bait on the National Forest Lands 
bounded by the Blue Ridge Parkway on the south, 
US 276 on the north and east, and NC 215 on the 
west; 

(5) on Cowan's Ford Waterfowl Refuge in Gaston, 
Lincoln and Mecklenburg Counties: 

(6) on the Hunting Creek Swamp Waterfowl Refuge: 

(7) on the John"s River Waterfowl Refuge in Burke 
County: 

(8) on the Dupont State Forest Game Lands. 

On those areas of state-owned land known collectively as the 
Roanoke River Wetlands controlled trapping is allowed under 
a permit s\ stem. 

(g) Use of Weapons. No person shall hunt or discharge a 
fireann or bow and arrow from a vehicle, or within 200 yards 
of any building or designated camping area, or within, into, or 
across a posted "safety zone" on any game land. No person 
shall hunt with or discharge a firearm w ithin, into, or across a 
posted "restricted zone" on an\ game land. 

(h) Vehicular Traffic. No person shall drive a motorized 
vehicle on an\ game land except on those roads constructed, 
maintained and opened for vehicular travel and those trails 
posted for vehicular travel, unless such person: 

( 1 ) is a participant in scheduled bird dog field trials 
held on the Sandhills Game Land: or 

(2) holds a Disabled Access Program Permit as 
described in (n) below and is abiding by the rules 



13:1 



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105 



APPROVED RULES 



described in that paragraph. 

(i) Camping. No person shall camp on an\ game land 
except on an area designated b\ the landow ner for camping. 
Camping and associated equipment in designated Hunter 
Camping Areas at Butner-Falls of the Neuse. Caswell, and 
Sandhills Game Lands is limited to Sept. I- Feb. 29 and Apr. 
7 -May 14. 

(i) Swimming. Swimming is prohibited in the lakes located 
on the Sandhills Game Land. 

(k) Disabled Sportsman Program. In order to qualify' for 
special hunts for disabled sportsmen listed in 15A NCAC lOD 
.0003 an individual shall have in their possession a Disabled 
Sportsman permit issued b\ the Commission. In order to 
qualifv for the permit, the applicant shall provide medical 
certification of one or more of the following disabilities: 

( 1 ) amputation of one or more limbs: 

(2) paraK'sis of one or more limbs; 

(5) dvsfunction of one or more limbs rendering the 
person unable to perfomi the task of grasping and 
lifting with the hands and arms or unable to walk 
without mechanical assistance, other than a cane; 

(4) disease or injurv or defect confining the person to 
a w heelchair. w alker. or crutches; or 

(5) legal deafness, meaning the inability to hear or 
understand oral communications with or without 
assistance of amplification devices. 

Participants in the program, except those qualifying b\ 
deafness, max operate vehicles on ungated or open-gated 
roads normalK closed to \ehicular traffic on Game Lands 
owned b\ the Wildlife Resources Commission. Each program 
participant ma\ be accompanied b\ one able-bodied 
companion provided such companion has in his possession the 
companion permit issued w ith the Disabled Sportsman pemiit. 

(I) Release of .-Animals and Fish. It is unlawful to release 
pen-raised animals or birds, w ild animals or birds, or hatcher\ - 
raised fish on game lands w ithout prior written authorization. 
Also, it is unlawful to mo\e wild fish from one stream to 
another on game lands w ithout prior w ritten authorization. 

(m) Non-Highwa\ Licensed Vehicles. It is unlawful to 
operate motorized vehicles not licensed for highwax use from 
May 15 through August 31 on all state-owned Game Lands. 
Such \ehicies ma_\ be operated September 1 through Ma\ 14 
onl\ on those roads constructed, maintained, and open for 
vehicular travel and those trails posted for vehicular use. All 
operators of such \ehicles shall ha\e. in their possession, a 
valid Game Lands L'se license. 

(n) Disabled Access Program. Permits issued under this 
program shall be based upon competent medical evidence 
submitted b\ the person verit\ ing that a handicap exists that 
limits phvsical mobility to the extent that normal utilization of 
the game lands is not possible without vehicular assistance. 
Persons meeting this requirement may operate electric wheel 
chairs, all terrain vehicles, and other passenger vehicles on 
ungated or open-gated roads otherwise closed to \ehicular 
traffic on game lands owned b_\ the Wildlife Resources 
Commission and on game lands w hose ow ners ha\ e agreed to 
such use. Those game lands where this special rule applies 
shall be designated in the game land rules and map book. This 



special access rule for disabled sportsmen does not pennit 
vehicular access on fields, openings, roads, paths, or trails 
planted to wildlife food or cover. One able-bodied 
companion, who is identified b\ a special card issued to each 
qualified disabled person, may accompany a disabled person 
to provide assistance, provided the companion is at all times 
in \isual or \erbal contact with the disabled person. The 
companion ma\ participate in all lawful activities while 
assisting a disabled person, provided license requirements are 
met. Any vehicle used b\ a qualified disabled person for 
access to game lands under this provision shall prominentl) 
display the vehicular access permit issued by the Wildlife 
Resources Commission in the passenger area of the vehicle. 
It shall be unlawful for anvone other than those holding a 
Disabled Access Permit to hunt, during waterfowl season, 
within 100 yards of a waterfowl blind designated b>' the 
W ildlife Resources Commission as a Disabled Sportsman's 
hunting blind. 

Hisloiy Note: Temporary Awemiment Ef'f. October 11. 

1993:' 

Authority G.S. 115-134: 113-264: 113-2'0.3: 113-291.2: 

113-291.5: 113-305: 113-306: 

Eff. Fehruaiy 1. 19~6: 

Amended Eff. .Juh f 199S: July 1. 1996: July 1. 1995: July 1. 

1994: July 1. 1993: April 1. 1992. 

.0003 HUNTING ON GAME LANDS 

(a) Safety Requirements. No person while hunting on an\ 
designated game land shall be under the influence of alcohol 
or an> narcotic drug, or fail to comply v\ ith special restrictions 
enacted by the National Park Service regarding the use of the 
Blue Ridge Parkwav where it adjoins game lands listed in this 
Rule. 

(b) Traffic Requirements. No person shall park a vehicle 
on game lands in such a manner as to block traffic, gates or 
otherwise prevent vehicles from using an\ roadway. 

(c) Tree Stands. It is unlawful to erect or to occupv. for the 
purpose of hunting. an\ tree stand or platform attached b\ 
nails, screws, bolts or wire to a tree on an_\ game land 
designated herein. This prohibition shall not appK to 
lag-screw steps or portable stands that are removed after use 
w Ith no metal left remaining in or attached to the tree. 

(d) Time and Manner of Taking. Except where closed to 
hunting or limited to specific dates b> this Chapter, hunting on 
game lands is permitted during the open season for the game 
or furbearing species being hunted. On managed waterfowl 
impoundments, hunters shall not enter the posted 
impoundment areas earlier than 4:00 a.m. on the permitted 
hunting dates, and hunting is prohibited after 1:00 p.m. on 
such hunting dates; decovs shall not be set out prior to 4:00 
a.m. and must be removed b_v 3:00 p.m. each day. No person 
shall operate any vessel or vehicle powered b\ an inteni.il 
combustion engine on a managed waterfowl impoundment. 
No person shall attempt to obscure the sex or age of an\ bird 
or animal taken b_v severing the head or an\ other part thereof, 
or possess anv bird or animal which has been so mutilated. 
No person shall place, or cause to be placed on an\ game land. 



106 



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July I, 1998 



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APPROVED RULES 



' 



. 



salt, grain, fruit, or other foods without prior written 
authorization of the commission or its agent. A decision to 
grant or deny authorization shall be made based on the best 
management practices for the wildlife species in question. No 
person shall take or attempt to take an\ game birds or game 
animals attracted to such foods. No live wild animals or wild 
birds shall be removed from an> game land, 
(e) Definitions: 

(1 ) For purposes of this Section "Eastern" season refers 

to seasons set for those counties or parts of counties (T) G 

listed in 1 5A NCAC 1 OB .0203(b)( 1 )( A); "Central" ( 1 ) 

season refers to seasons set for those counties or 
parts of counties listed in 15A NCAC lOB 
.0203(b)(1)(D); "Northwestern" season refers to 
seasons set for those counties or parts of counties 
listed in 15A NCAC lOB .0203(b)( IKB); 
"Western" season refers to seasons set for those 
counties or parts of counties listed in 15A NCAC (2) 

lOB .0203(bKl)(C). 

(2) For purposes of this Section. "Dove OnK Area" 
refers to a Game Land on which doves ma_\ be 
taken and dove hunting is limited to Mondays. 
Wednesdays. Saturdays and to Thanksgiving. 
Christmas and New Year's Days uithin the (3) 
federally-announced season. 

(3) For purposes of this Section, "Three Da\s per 
Week Area" refers to a Game Land on which any 
game may be taken during the open seasons and 
hunting is limited to Monda\s. Wednesdays. 
Saturdays and Thanksgiving. Christmas and New (4) 
Year's Da\s. These "open da\s" also apply to 
either-sex hunting seasons listed under each game 

land. Raccoon and opossum hunting may continue 
until 7:00 a.m. on Tuesdays, until 7:00 a.m. on 
Thursdays, and until midnight on Saturdays. 

(4) For purposes of this Section. "Six Da>s per Week 

Area" refers to a Game Land on which an\ game (5) 

may be taken during the open seasons, except that: 

(A) Bears shall not be taken on lands designated 
and posted as bear sanctuaries: 

(B) Wild boar shall not be taken with the use of 

dogs on such bear sanctuaries, and w ild boar (6) 

ma> be hunted onl\ during the bow and 
arrow seasons, the muzzle-loading deer 
season and the regular gun season on male 
deer on bear sanctuaries: 

(C) On game lands open to deer hunting located 
in or west of the counties of Rockingham. 
Guilford. Randolph. Montgomer> and 

Anson, the following rules appK to the use (7) 

of dogs during the regular season for hunting 
deer with guns: 
(i) Except for the counties of Cherokee. 

Cla\. Graham. Jackson. Macon. 

Madison, Polk, and Sv\ain. game 

birds ma> be hunted with dogs, 
(ii) In the counties of Cherokee. Clay. 

Graham, .lackson. Macon. Madison. 



Polk, and Swain, small game in 
season may be hunted with dogs on 
all game lands except on bear 
sanctuaries. 
(D) On bear sanctuaries in and west of Madison, 
Buncombe. Henderson and Polk counties 
dogs shall not be trained or allowed to run 
unleashed between March 1 and the Monday 
on or nearest October 15; 
ame Lands Seasons and Other Restrictions: 
Alcoa Game Land in Davidson, Davie. 
Montgomery. Rowan and Stanly counties 

(A) Six Da>s per Week Area 

(B) Deer of either sex may be taken the first six 
open days and the last six open day s of the 
applicable Deer With Visible Antlers 
Season. 

Angola Bay Game Land in Duplin and Pender 
counties 

(A) Six Da>s per Week Area 

(B) Deer of either sex may be taken all the open 
da\s of the applicable Deer With Visible 
Antlers Season. 

Anson Game Land in Anson County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
open da>s and the last six open days of the 
applicable Deer With Visible Antlers 
Season, 

Bachlelor Bay Game Land in Bertie and 
Washington counties 

(A) Six Da>s per Week Area 

(B) Deer of either sex may be taken the first six 
open days and the last six open days of the 
applicable Deer With Visible Antlers 
Season. 

Bertie County Game Land in Bertie County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken all the open 
days of the applicable Deer With Visible 
Antlers Season. 

Bladen County Game Land in Bladen County 

(A) Six Days per Week Area 

(B) Deer of either sex ma\ be taken all the open 
days of the applicable Deer With Visible 
Antlers Season. 

(C) A special permit is required for hunting on 
the Suggs Vlill Pond portion of the Bladen 
County Game Lands. 

Bladen Lake- State Forest Game Land in Bladen 
•^'ounty 

(A) Three Days per Week Area 

(B) Deer of either sex may be taken the first six 
open da_\s and the last six open da\s of the 
applicable Deer With Visible Antlers 
Season. Deer of either sex may also be taken 
the Saturda\ preceding Eastern bow season 
with bow and arrow and the FridaN 



13:1 



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July 7, 199H 



107 



APPROl ED RULES 



preceding the Eastern muzzle-loading season 
with an\ legal weapon (with weapons 
exceptions described in this Paragraph) b\ 
participants in the Disabled Sportsman 
Program. 

(C) Handguns shall not be carried and, except 
for muzzle-loaders, rifles larger than .22 
caliber rimtire shall not be used or 
possessed. (13) 

(D) On the Breece Tract and the Singletan. Tract 

deer and bear may be taken onK b\ still (14) 

hunting. 

(E) Wild turke\ hunting is b> pennit only. 

(8) Brushy Mountains Game Land in Caldwell County 

(A) Six Da\s per Week Area 

(B) Deer of either sex ma\ be taken the last six 
open days of the applicable Deer With 
Visible .Antlers Season. 

(9) Bullard and Branch Hunting Preserve Game Lands (15) 
in Robeson County 

(A) Three Da\s per Week Area 

(B) Deer of either sex ma\ be taken the last six 
open da\s of the applicable Deer With 
Visible Antlers Season. 

(10) Butner - Falls of Neuse Game Land in Durham. (16) 

Granville and Wake counties 

(A) Six Da\s per Week Area 

Deer of either sex ma> be taken the last six 

open da\s of the applicable Deer With 

Visible .Antlers Season. (17) 

Waterfow 1 ma\ be taken onK on Tuesdays. 

Thursdays and Saturdays. Christmas and 

New Year's Days, and on the opening and 

closing da\s of the< applicable waterfowl 

seasons. Waterfowl shall not be taken after 

1 :00 p.m. On the posted waterfow I 

impoundments a special permit is required (18) 

for all w aterfow 1 hunting after November 1 . 

Horseback riding, including all equine 

species, is prohibited. 

Target shooting is prohibited 

Wild turke> hunting is b\ permit only. 

Cape Fear Game Land in Pender County 

(A) Six Days per Week Area ( 1 9) 

Deer of either sex may be taken all the open 
da\s of the applicable Deer With Visible 
Antlers Season. 

Turke_\ Hunting is b\ permit onK on that 
portion known as the Roan Island Tract. (20) 

(12) Caswell Game Land in Caswell County 

(A) Three Da\ s per Week Area 

Deer of either sex ma\ be taken the last six 

open da\s of the applicable Deer With 

Visible Antlers Season. Deer of either sex (21) 

ma; also be taken the Frida\ preceding the 

Central muzzle-loading season b\ 

participants in the Disabled Sportsman 

Program. 



(11; 



(B) 



(C) 



(D) 

(E) 
(F) 



(B) 



(C) 



(B 



(C) Horseback riding is allowed only during 
June. JuK. and August and on Sundays 
during the remainder of the year except 
during open turkey and deer seasons. 
Horseback riding is allowed only on roads 
opened to vehicular traffic. Participants 
must obtain a game lands license prior to 
engaging in such activ it> . 

Caswell Fann Game Land in Lenoir County 

(A) Dove-Onl\ Area 

Catawba Game Land in Catawba and Iredell 

counties 

(A) Three Da\s per Week Area 

(B) Deer of either sex may be taken the last open 
day of the applicable Deer With Visible 
Antlers Season. 

(C) Deer may be taken w ith bow and arrow only 
from the tract known as MolK "s Backbone. 

Chatham Game Land in Chatham Count> 

(A) Six Da) s per Week Area 

(B) Deer of either sex ma\ be taken the first six 
open da\s and the last six open da\s of the 
applicable Deer With Visible Antlers 
Season. 

Cherokee Game Land in Ashe County 

(A) Six Da\s per Week .Area 

(B) Deer of either sex max be taken the last six 
open da\s of the applicable Deer With 
Visible Antlers Season. 

Cherp. Fami Game Land in Wa>ne Counts' 

( A ) Three Da\ s per W eek Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. 

(C) The use of centerflre rifles and handguns is 
prohibited. 

Chowan Game Land in Chowan Count)' 

( A ) Six Da\ s per Week Area 

(B) Deer of either sex ma>' be taken the first six 
open days, open days the week of 
Thanksgi\ ing. and the last six open da\ s of 
the applicable Deer With Visible Antlers 
Season. 

Chowan Swamp Game Land in Gates County 

(A) Six Da\s per Week Area 

( B ) Deer of either sex ma\' be taken al I the open 
da\s of the applicable Deer W ith Visible 
Antlers Season. 

Columbus County Game Land in Columbus County . 

(.'\) Three Days per Week Area 

(B) Deer of either sex ma_\ be taken all open 

da\s of the applicable Deer With visible 

Antlers Season. 
Croatan Game Land in Carteret. Craven and Jones 
counties 

(A) Six Da>s per Week Area 

(B) Deer of either sex ma_\ be taken the first six 
open da\s and the last six open da>s of the 



108 



NORTH CAROLINA REGISTER 



Jiilv L 199H 



13:1 



APPROVED RULES 



applicable Deer With Visible Antlers 
Season. (28) 

(C) Waterfowl may be taken only on Mondays. 
Wednesdays, Saturdays; on Thanksgiving, 
Christmas and New Year's Days; and on the 
opening and closing days of the applicable 
waterfowl seasons. 

(22) Dare Game Land in Dare County 

(A) Si.x Da>s per Week Area 

(B) Deer of either sex ma> be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. 

(C) No hunting on posted parts of bombing (29) 
range. 

(D) The use and training of dogs is prohibited 
from March 1 through June 30. 

(23) Dupont State Forest Game Lands in Henderson and 
Transylvania counties (30) 

(A) Hunting is by Permit only. 

(B) The training and use of dogs for hunting 
except during scheduled small game permit 
hunts for squirrel, grouse, rabbit, or quail is 
prohibited. 

(24) D\sarts\ille Game Land in McDowell and 
Rutherford counties 

(A) Six Days per Week Area 

(B) Deer of either sex ma\ be taken the last six 
open da\s of the applicable Deer With 
Visible Antlers Season. 

(25) Elk Kno' Game Land in Ashe and Watauga 
counties (31) 

(A) Six Da\ s per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. 

(26) Gardner-Webb Game Land in Cleveland Count)' 

(A) Six Days per Week Area (32) 

(B) Deer of either sex ma\ be taken the last six 
open da\s of the applicable Deer With 
Visible Antlers Season. 

(27) Goose Creek Game Land in Beaufort and Pamlico 
counties 

(A) Six Da\s per Week Area 

(B) Deer of either sex ma\ be taken the first six (33) 
open da\s and the last six open da\s of the 
applicable Deer With Visible Antlers 

Season. 

(C) On posted waterfowl impoundments 
waterfowl ma\ be taken onl\ on Mondays, 
Wednesda>s. Saturdavs; on Thanksgiving. 
Christmas and New Year's Da\s: and on the 
opening and closing days of the applicable 
vsaterfowl seasons. After November 1. on 
the Pamlico Point. Campbell Creek. Hunting 
Creek and Spring Creek impoundments, a 
special permit is required for hunting on 
opening and closing da\s of the duck 
seasons. Saturdays of the duck seasons, and 



on Thanksgiving and New Year's da\ . 
Green River Game Land in Henderson. Polk and 
Rutherford counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season in that portion in 
Rutherford County; and deer of either sex 
ma\ be taken the last open da\ of the 
applicable Deer With Visible Antlers Season 
in that portion in Polk and Henderson 
counties. 

Green Swamp Game Land in Brunswick Countv 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken all the open 
days of the applicable Deer With Visible 
Antlers Season. 

Gull Rock Game Land in Hyde County 

(A) Six Days per Week Area 

( B ) Deer of either sex may be taken the first six 
open da\s and the last six open days of the 
applicable Deer With Visible Antlers 
Season. 

(C) On the posted waterfowl impoundments of 
Gull Rock Game Land hunting of any 
species of w ildlife is limited to Mondays. 
Wednesdavs. Saturdays; Thanksgiving. 
Christmas, and New Year's Da\s; and the 
opening and closing da>s of the applicable 
waterfow 1 seasons. 

Hickorvnut Mountain Game Land in McDowell 
County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open davs of the applicable Deer With 
Visible Antlers Season. 

Hofmann Forest Game Land in Jones and Onslow 

counties 

(A) Six Davs per Week Area 

Deer of either sex mav be taken the first six 

open davs and the last six open davs of the 

applicable Deer With Visible Antlers 

Season. 

Shelter Game Land in Pender County 

Three Davs per Week Area 

Deer of either sex may be taken the last six 

open days of the applicable Deer With 

Visible Antlers Season. Deer of either sex 

may also be taken the Friday preceding the 

Eastern muzzle-loading season v\ith anv 

legal weapon and the Saturdav preceding 

Eastern bow season with bow and arrow bv 

participants in the Disabled Sportsman 

Program 

(C) Waterfowl may be taken on the opening and 
closing days of the applicable waterfowl 
seasons regardless of the da) of the week on 
which thev occur. 



(B) 



Hoi 
(A) 
(B) 



13:1 



NORTH CAROLINA REGISTER 



July L 199H 



109 



APPROl ED RULES 



(34) Huntsville CommunitA' Farms Game Land in 
Yadkin Count\ 

(A) Three Da\s per Week Area 

( B ) Deer of either sex ma\ be taken the last open 
da> of the applicable Deer With Visible 
Antlers Season. 

(35) H\co Game land in Person Count\ 

(A) Six Da)s per Week Area 

(B) Deer of either sex ma> be taken the first six 
open da>s and the last six open da\s of the 
applicable Deer With Visible Antlers 
Season. 

(36) Jordan Game Land in Chatham. Durham. Orange 
and Wake counties 

(A) Six Da\s per Week Area 

(B) Deer of either sex ma\ be taken the first six 
open da\ s and the last six open da> s of the 
applicable Deer With Visible Antlers 

Season. (42) 

(C) \\aterfo\\l ma\ be taken onl\ on Mondaxs. 
WednesdaNS. Saturdays; on Thanksgi\ ing. 
Christmas and New Year's Da_\ s; and on the 
opening and closing da>s of the applicable 
waterfowl seasons. 

(D) Horseback riding, including all equine (43) 
species, is prohibited. 

(E) Target shooting is prohibited. 

(F) Wild turke\ hunting is b> permit onl\. 

(37) Lantern Acres Game Land in T\rrell and 
\\'ashington counties 

(A) Six Da\s per W eek Area (44) 

(B) Deer of either sex ma_\ be taken the first six 
open da\s. open da>s the week of 
Thanksgi\ ing. and the last six open da\ s of 
the applicable Deer With Visible .Antlers 
Season. 

(38) Lee Game Land in Lee Count} 

(.A) Six Days per Week Area (45) 

(B) Deer of either sex ma\ be taken the first six 
open da\s and the last six open da\s of the 
applicable Deer With Visible .Antlers 
Season. 

(39) Linwood Game Land in Da\idson Countx 

(A) Six Da\s per Week .Area 

(B) Deer of either sex max be taken the first six 

open daNs and the last six open da>s of the (46) 

applicable Deer With \'isible .Antlers 
Season. 

(40) Moore Game Land in Moore Count> 

(A) Six Da\s per Week .Area 

(B) Deer of either sex ma\ be taken the first six 
open da\ s and the last six open da\ s of the 
applicable Deer With Visible .Antlers 
Season. 

(41 ) Nantahala Game Land in Cherokee. Cla>. Graham. 
Jackson. Macon. Swain and Trans>Kania counties (47) 

(A) Six Da\s per Week .'\rea 

(B) Deer of either sex ma\ be taken the last open 



day of the applicable Deer With Visible 
Antlers Season in that portion located in 
Transylvania County . 

(C) Raccoon and opossum ma> be hunted onl_\ 
from sunset Frida\ until sunrise on Saturda_\ 
and from sunset until 12:00 midnight on 
Saturday on Fires Creek Bear Sanctuan, in 
Cla\ CountN and in thai part of Cherokee 
County north of US 64 and NC 294. east of 
Persimmon Creek and Hiwassee Lake, south 
of Hiwassee Lake and west of NotteK Ri\er: 
in the same part of Cherokee County dog 
training is prohibited from March 1 to the 
Monda\ on or nearest October 1 5. 

(D) It is unlawful to train dogs or allow dogs to 
run unleashed on an\ game land in Graham 
CountN between March 1 and the Monda\ on 
or nearest October 15. 

Neuse Ri\er Game Land in Cra\ en Count) 

(A) Six Da>s per Week Area 

( B ) Deer of either sex ma> be taken the first six 
open da_\s and the last six open da\s of the 
applicable Deer With Visible Antlers 
Season. 

New Lake Game Land in H\de Count) 

(.A) Six Da\s per Week .Area 

( B ) Deer of either sex ma> be taken the first six 
open da_\s and the last six open da_\s of the 
applicable Deer With Visible .Antlers 
Season. 

North Ri\er Game Land in Currituck Count) 

(A) Six Da>s per Week Area 

(B) Deer of either sex ma\ be taken the first six 
open daNS. open da\s the week of 
Thanksgis ing. and the last six open da>"s of 
the applicable Deer With Visible Antlers 
Season. 

Northwest Ri\er .Marsh Game Land in Currituck 

Count) 

(.A) Six Da_\s per Week .Area 

( B ) Deer of either sex ma_\ be taken the first six 
open da\s. open da\s the week of 
Thanksgi\ ing. and the last six open da\ s of 
the applicable Deer With Visible .Antlers 
Season. 

Pee Dee Ri\er Game Land in .Anson. Montgomery.. 

Richmond and StanK counties 

(A) Six Da\s per Week .Area 

(B) Deer of either sex ma\ be taken the tlrst six 
open da>s and the last six open da\s of the 
applicable Deer With Visible Antlers 
Season. 

(C) Use of centertire rifles prohibited in that 
portion in .Anson and Richmond counties 
North of US-74. 

Perkins Game Land in Da\ ie Count) 

(,A ) Three Da) s per Week .Area 

(B) Deer of either sex ma) be taken the last open 



no 



NORTH CAROLINA REGISTER 



July I. 1998 



13:1 



APPROVED RULES 



» 



day of the applicable Deer With Visible 
Antlers Season. 

(48) Person Game Land in Person Count\' 

(A) Six Da\s per Week Area 

(B) Deer of either sex may be taken the first six 
open daNs and the last six open days of the 
applicable Deer With Visible Antlers 
Season. 

(C) Waterfowl may be taken onK on Tuesdays. 
Thursda\s and Saturda\s. Christmas and 
New Year's Dass. and on the opening and 
closing da>s of the applicable waterfowl 
seasons. 

(49) Pisgah Game Land in A\er>. Buncombe. Burke, 
Caldwell. Ha\wood. Henderson. Madison. 
McDowell. Mitchell. Trans\l\ania. Watauga and 
Yancey counties 

(A) Six Da>s per Week Area 

(B) Deer of either sex ma> be taken the last open 
da\ of the applicable Deer With Visible 
Antlers Season except on that portion of 
Aver\ Count\ north of the Blue Ridge 
Parkway and that portion in Ha>wood 
Counts encompassed b\ US 276 on the 
north. US 74 on the west, and the Blue Ridge 
ParkwaN on the south and east. 

(C) Harmon Den and Sherwood Bear 
Sanctuaries in Ha\ w ood Count} are closed 
to hunting raccoon, opossum and wildcat. 
Training raccoon and opossi ii dogs is 
prohibited from March 1 to the Monda\ on 
or nearest October 1 5 in that part of Madison 
Count) north of the French Broad River, 
south of US 25-70 and west of SR 1 3 1 9. 

(50) Pungo River Game Land in H\de Counts 

(A) Six Days per Week Area 

(B) Deer of either sex ma\ be taken the first six 
open da\s and the last six open da>s of the 
applicable Deer With Visible Antlers 
Season. 

(51) Roanoke River Wetlands in Bertie. Halifax and 
Martin counties 

(A) Hunting is b\ Permit onl\. Vehicles are 
prohibited on roads or trails except those 
operated on official Commission business or 
by permit holders. 

(52) Robeson Game Land in Robeson Counts 

(A) Three Da\s per Week Area 

(B) Deer of either sex ma\ be taken the last six 
open da\s of the applicable Deer With 
Visible Antlers Season. 

(53) Sampson Game Land in Sampson County 

(A) Three Da\s per Week Area 

(B) Deer of either sex ma\ be taken all the open 
da>s of the- applicable Deer With Visible 
Antlers Season. 

(54) Sandhills Game Land in Moore. Richmond and 
Scotland counties 



(C) 



(A) Three Days per Week Area 

(B) The Deer With Visible Antlers season for 
deer consists of the open hunting dates from 
the second Monday before Thanksgiving 
through the third Saturday after 
Thanksgiving except on the field trial 
grounds where the gun season is from the 
second MondaN before Thanksgi\ing 
through the Saturda\ following 
Thanksgiving. Deer ma> be taken w ith bow 
and arrow on all open hunting dates during 
the bow and an'ow season, as well as during 
the regular gun season. Deer ma\ be taken 
with muzzle-loading fireanns on Monday, 
Wednesda\ and Saturday of the second week 
before Thanksgiving week, and during the 
Deer With Visible Antlers season. 
Gun either-sex deer hunting is b\' permit 
onK the Thursda\ and Frida\ before 
Thanksgiving Week. For participants in the 
Disabled Sportsman Program, either-sex deer 
hunting w ith an\ legal weapon is permitted 
on all areas the Thursda\ and Friday prior to 
the muzzle-loading season described in the 
preceding paragraph. Except for the deer 
seasons indicated in the preceding paragraph 
and the managed either-sex permit hunts, the 
field trial grounds are closed to all hunting 
during the period October 22 to March 3 1 . 
In addition to the regular hunting da\s. 
waterfow 1 ma> be taken on the opening and 
closing da\s of the applicable waterfowl 
seasons 

Wild turke\ hunting is b\ permit onK'. 
Do\ e hunting on the field trial grounds will 
be prohibited from the second Sunda\ in 
September through the remainder of the 
hunting season. 

(55) Sauratown Plantation Game Land in Stokes County 

(A) Three Days per Week Area 

( B) Deer of either sex may be taken the last open 
da\ of the applicable Deer With Visible 
Antlers Season. 

(56) Shearon Harris Game Land in Chatham and Wake 
counties 

(A) Six Da_\'s per Week Area 

(B) Deer of either sex ma\ be taken the first six 
open da\s and the last six open days of the 
applicable Deer With Visible Antlers 
Season. 

(C) W aterfow 1 ma\ be taken onK on Tuesda\ s, 
Frida\s. Saturda\s; on Thanksgiving. 
Christmas and New \'ear's Da\ s: and on the 
opening and closing dass of the applicable 
v\aterfowl seasons. 

(57) South Mountains Game Land in Burke. Cle\ eland. 
McDowell and Rutherford counties 

(A) Six Days per Week Area 



(D 



(E) 
(F) 



13:1 



NORTH CAROLINA REGISTER 



July 1, 199S 



in 



APPROVED RULES 



(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. 

(58) Sutton Lake Game Land in New Hanover Counf)' 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. 

(59) Three lop Mountain Game Land in Ashe County 

(A) Six Da\s per Week Area 

(B) Deer of either sex ma\' be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. 

(60) Thumiond Chatham Game Land in Wilkes Count\ 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Participants of the 
Disabled Sportsman Program may also take 
either-sex deer with bow and arrow on the 
Saturdax' prior to Northwestern bow and 
arrow season. 

(C) Horseback riding is only allowed during 
June. Jul\. and August and on Sundaxs 
during the remainder of the \ear except 
during open turke\ and deei' seasons. 
Horseback riding is allowed only on roads 
opened to vehicular traffic. Participants 
must obtain a game lands license prior to 
horseback riding on this area. 

(61 ) Toxawav Game Land in Trans\lvania Count\ 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last open 
da> of the applicable Deer With Visible 
Antlers Season. Participants of the Disabled 
Sportsman Program Deer ma\ also take deer 
of either sex w ith an\ legal weapon on the 
Saturdav prior to the first segment of the 
Western bow and arrow season. 

(62) Uwharrie Game Land in Davidson. Montgomery 
and Randolph counties 

(A) Six Da\s per Week Area 

(B) Deer of either sex ma\ be taken the first six 
open da\s and the last open six days of the 
applicable Deer With Visible Antlers 
Season. 

(63) Vance Game Land in Vance Countv' 

(A) Six Da\s per Week Area 

(B) Deer of either sex ma\ be taken all the open 
days of the applicable Deer With Visible 
Antlers Season. 

(C) The use of dogs, centerfire rifles and 
handguns for hunting deer is prohibited on 
the Nutbush Peninsula tract. 

(64) White Oak Ri\er Impoundment Game Land in 
Onslow Counr\ 

(A) Three Da\'s per Week Area 

(B) Deer of either sex may be taken all the open 



days of the applicable Deer With Visible 
Antlers Season. 
(C) Waterfowl may be taken on the opening and 
closing days of the applicable waterfowl 
seasons regardless of the day of the week on 
which they occur. 
(65) Yadkin Game Land in Caldwell County 

(A) Six Da>s per Week Area 

( B ) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. 

(g) On permitted type hunts deer of either sex may be taken 
on the hunt dates indicated on the permit. Completed 
applications must be received b> the Commission not later 
than the first day of September next preceding the dates of 
hunt. Pennits shall be issued by random computer selection, 
shall be mailed to the pemiittees prior to the hunt, and shall be 
nontransferable. A hunter making a kill must tag the deer and 
report the kill to a wildlife cooperator agent or by phone. 

(h) The following game lands and refuges shall be closed 
to all hunting except to those individuals who have obtained 
a valid and current permit from the Wildlife Resources 
Commission: 

Bertie. Halifax and Martin counties-Roanoke River 
Wetlands: 
Bertie Count)— Roanoke River National Wildlife Refuge. 
Burke Countv-.lohn's River Waterfow I RefLige 
Dare Counr\— Dare Game Lands (Those parts of bombing 
range posted against hunting) 
Davie-Hunting Creek Swamp Waterfowl Refuge 
Gaston. Lincoln and Mecklenburg counties— Cowan's Ford 
Waterfowl Refuge. 

Henderson and Transv Kania counties-Dupont State Forest 
Game Lands 

History Note: Temporan Amendment Eff' October 3. 199] : 

Authority- G.S. ! 13-134; 113-264; 113-291.2; 113-291.5; 

113-305: 

Eff. February 1. 19-6; 

Amende J Eff. Jii/r L 199.S: July 1. 199': .lii/v 1. 1996: 

September 1. 1995: July I. 1995: September 1. 1994: July 1. 

1994. 

.0004 FISHING ON GAME LANDS 

(a) GeneralK. Except as otherwise indicated herein, 
fishing on game lands which are open to fishing shall be in 
accordance with the statewide rules. All game lands are open 
to public fishing except restocked ponds when posted against 
fishing. Hunting Creek Swamp Waterfowl Refuge. Grogan 
Creek in Transylvania County, and in the case of private 
ponds where fishing ma\' be prohibited b\ the ov\ners thereof. 
No trotline or set-hook or any net, trap. gig. bow and arrow or 
other special fishing device of a type mentioned in I5A 
NCAC IOC .0403 may be used in any of the impounded 
waters located on the Sandhills Game Land. 

(b) Designated Public Mountain Trout Waters 

( I ) Fishing Hours. It is unlawful to fish in designated 
public mountain trout waters on an\ game land 



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from one-half hour after sunset to one-half hour before 
sunrise, except in Hatchery Supported Trout waters as stated 
in 15A NCAC IOC .0305(a), Delayed Harvest waters as stated 
in 15A NCAC IOC .0205(a)(5). game lands sections of the 
Nantahala River located downstream from the Swain County 
line, and in the sections of Green River in Polk County located 
on Green River Game Lands from Fish Stop Falls Access 
Area dow nstream to Brights Creek. 

(2) Location. All waters located on the game lands 
listed in this Subparagraph are designated public 
mountain trout waters except Cherokee Lake. 
Grogan Creek, and Big Laurel Creek downstream 
from the US 25-70 bridge to the French Broad 
River. Pigeon River downstream of Waterville 
Reservoir to Tennessee line. Nolichuck\ River, and 
Mill Ridge Pond and Cheoah Ri\er downstream of 
Santeetlah Reservoir. 

Dupont State Forest Game Lands in 

Henderson and Trans\ Ivania counties 

Three Top Mountain Game Land. Ashe 

County 

Nantahala National Forest Game Lands in 

the Counties of Cherokee. Cla\. Graham. 

Jackson. Macon. Suain and Trans\lvania 

Pisgah National Forest Game Lands in the 

Counties of Aver\. Buncombe. Burke. 

Caldwell. HaNwood. Henderson. Madison. 

McDowell. Mitchell. Trans>Kania and 

Yance> 

Thurmond Chatham Game Land in Wilkes 

Count\ 

Toxaway Game Land in Transylvania 

CountN' 

(3) All designated public mountain trout waters located 
on the game lands listed in Subparagraph (b)(2) of 
this Rule are wild trout v\aters unless classified 
otherwise. [See 15A NCAC IOC .0205(a)(1)]. 

(c) Ponds. In all game lands ponds, it is unlawful to take 
channel, white or blue catfish (forked tail catfish) b\ means 
other than hook and line and the daiK creel limit for forked 
tail cattish is six fish in aggregate. 

Hislory Note: Aulhnrin- G.S. 113-134: 113-264: 113-2':: 

113-292: 113-305: 

Eff. Febniaiy 1 . 1976: 

Amended Eff. Jiih 1. l99S: .liily 1. 1996:. July 1. 1995: July 1. 

1 994:. July 1. 1993: July 1. 1992. 

SUBCHAPTER lOF - MOTORBOATS AND WATER 
SAFETY 

SECTION .0100 - MOTORBOAT REGISTRATION 

.0102 APPLICATION FOR CERTIFICATE OF 
VESSEL NLMBER 

(a) General: Ever> owner of a vessel required to be 
numbered pursuant to G.S. 75A-4 and 75A-7 shall appK to 
the Vessel Registration and Title Section of the North 



Carolina Wildlife Resources Commission or to one of its 
authorized agents for a certificate of vessel number using an 
approved application. 

(b) Individual Owners of Vessels. The application shall 
contain the following information: 

(1) name of owner(s); 

(2) address of owner, including zip code: 

(3) state of principal use of vessel: 

(4) present or previous vessel registration number (if 
an\ ): 

(5) desired period of registration (one or three \ears): 

(6) use of \essel (pleasure. li\er>. demonstration, 
commercial passenger, commercial fishing, other 
commercial); 

(7) make of vessel (if known): 

(8) \ear of manufacture or model year (if known); 

(9) manufacturer's hull identification number (if an\ ); 

(10) overall length of vessel; 

(11) type of vessel (open, cabin, houseboat, personal 
watercraft, pontoon, other); 

(12) hull material (wood, metal, fiberglass, inflatable, 
plastic, other); 

(13) t\pe of propulsion (inboard; outboard; 
inboard-outdrive; jet drive; sail; auxiliary 
sail inboard; auxilian. sail outboard); 

(14) type of fuel (gasoline, diesel, electric, other); 

(15) proof of ow nership document; 

(16) signature of owner(s). 

(c) Liver> Vessel Owners. A "liven." vessel is one that is 
rented or lea jd to an individual for a specific time period b\' 
the owner. The registration and numbering requirements of 
G.S. 75A-4 and 75A-7 shall apply to livery vessels. In any 
case where the motor is not rented with the vessel, the 
description of the motor and type of fuel may be omitted from 
the application. The standard application fonn for vessel 
registration shall be used for liver\ vessels with the term 
"livery" marked in the section designated for "use of vessel." 

(d) Dc- ers and Manufacturers of Vessels. A 
"manufacturer" as the term is used in this Rule is defined as a 
person, tlnn. or corporation engaged in the business of 
manufacturing \essels either upon prior commission or for the 
pui-pose of selling them after manufacture. A "dealer" as the 
temi is used in this Rule is defined as a person, firm, or 
corporation engaged in the business of offering vessels for 
sale at retail or v\ holesale from an established location(s). The 
registration and numbering requirements of G.S. 75A-4 and 
75A-7 shall applv to vessels belonging to dealers and 
manufacturers. The standard application for a certificate of 
vessel number shall be used for dealer and manufacturer 
certificates with the term "demonstration" marked in the 
section designated for "use of vessel." Upon receipt of a 
properlv completed application and fee for dealer or 
manufacturer vessel registration, the Wildlife Resources 
Commission shall issue to the applicant a dealer's or 
manufacturer's certificate of vessel number, as appropriate, 
which mav be used in connection with the operation of anv 
vessel in the possession of the dealer or manufacturer when 
the vessel is beine demonstrated. Additional dealer's or 



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113 



APPROVED RUES 



manufacturer's certificates of \ esse! number ma\ be obtained 
b\ mailing application in the same manner as prescribed for 
the initial certificate with pa>ment of an additional fee for 
each additional certificate. Dealers and manufacturers have 
the option of registering indi\ idual \essels in accordance with 
Rule .0104(a) of this Section. 

History \oie: Legislative Objection Lodged Eff'. December 

16. im): 

Authority G.S. '5A-3: ~5A-3: '5A-': '5A-19: 33 C.F.R. 

I '4. 1 ': ' 

Eff. Februaiy 1. 19'6: 

Amended Eff July /, 1988 at .4RRC request to cure referenced 

Legislative Objection: 

Amended Eff. July 1. 1998.- April 1. 199': November 1. 1993: 

August !. 1988: July 1. 1988: August 31. 1980. 

.0103 TRANSFER OF OWNERSHIP 

(al Transfer of titled \essels. 

( 1 ) When the ownership of a titled \ essel is transferred, 
the current o\\ner(s) as recorded on the face of the 
Certificate of Title for Watercraft shall complete 
the Assignment of Title section on the re\erse side 
of the certificate of title and transmit the title to the 
new o\\ner(s). If the certificate of title contains an\ 
encumbrances. securir\ interests, or liens on its 
face, the Release of First Lien section on the face of 
the certificate of title must be completed b_\ the 
lienholder(s) before the title is transmitted to the 
new o\\ner(s). If more than one lien is outstanding 
on the title, all liens must be satisfied as e\ idenced 
b\ attaching additional Release of Lien statements 
completed in the same fashion as the Release of 
First Lien section before the certificate of title is 
transmitted to the new owner(s). 

(2) The new owner(s) must complete and submit an 
.Application for Title and Registration along with 
the properK assigned certificate of title and 
applicable registration and title fees to the Vessel 
Registration and Title Section of the Wildlife 
Resources Commission for processing. The new 
owner(s) shall indicate on the application whether 
or not the \essel will be titled under the new 
ownership: and. if so. whether or not an\ liens exist 
on the \ essel. If the new owner! s) elects to transfer 
the title, then a new Certificate of Title for 
Watercraft shall be issued, including recordation of 
an\ new liens that are listed on the application. 

(b) Transfer of non-titled \essels. 
(1) Direct transfer from one indi\ idual owner to 
another. 

(A) If the ownership of a once-registered \essel 
is transferred, the pre\ ious owner shall 
complete the statement of transfer pro\ided 
with the certificate of \ essel number, date it 
as of the da_\ of the transaction, sign it. and 
deli\er it to the new owner. 

( B ) The new ow ner shall complete the transfer of 



vessel ownership by preparing and 
submitting an official application form for 
this purpose within 10 days from the date of 
transfer. The original vessel registration 
number must be retained when a \ essel most 
recenth registered in North Carolina is 
registered to a new owner. A new \essel 
registration number shall be issued to vessels 
most recenth registered in another State or 
ne\er before registered. 

(C) For 60 da\s following the transfer of 
ownership of a once-registered \essel. the 
new owner ma_\ use the certificate of \ essel 
number of the prior owner as a temporary 
certificate of number pending receipt of his 
own certificate pro\ided the certificate is 
\'alidated in accordance with Part (b)( 1 )(.-\) 
of this Rule. 

(D) An indi\ idual ma\ also transfer ow nership of 
a \ essel b\ preparing a Bill of Sale naming 
the new owner. pro\ided both parties to the 
sale sign the Bill of Sale before a notan. 
public. If a Bill of Sale is the instrument of 
transfer, the new owner ma\ use a cop\ of it 
as a temporan. certificate of \ essel number 
for a period of 60 da\s. The notarized Bill 
of Sale must accompan\ the application for 
transfer of ownership and the application 
must be mailed within 10 da>s of the date of 
sale. 

(2) Transfer of a once-registered \ essel through a 
dealer. 

(A) An owner selling or transferring a once- 
registered \essel to a dealer shall, on the da\ 
of the transaction. gi\e the certificate of 
vessel number to the dealer after dating and 
signing the statement of transfer pro\ ided 
w ith the certificate. 

(B) When the \ essel is subsequenth sold, the 
dealer shall, on the da\ of the transaction, 
date and sign the statement of transfer which 
was recei\ed from the pre\ious owner and 
gi\e it to the new owner. If no certificate of 
vessel registration is a\ailable. a Bill of Sale 
may be used to document transfer of 
ownership to the purchaser, provided both 
parties to the sale sign the Bill of Sale before 
a notary public. 

(C) For a period of 60 da\s following the 
transfer of ownership of a once-registered 
\essel . the new owner ma\ use the 
certificate of \essel number of the prior 
owner as a temporar> certificate of \essel 
number. pro\ided the certificate is \alidated 
in accordance with Part (bl(l)(.A) of this 
Rule: or a cop\ of the notarized Bill of Sale 
ma\ be used as a temporarv certificate. 

(3) Transfer of a \essel indi\ idualK -registered to a 



114 



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13:1 



APPROVED RULES 



dealer or manufacturer. Vessels that have been individually 
numbered by dealers or manufacturers shall upon transfer of 
ownership be governed by the provisions of Subparagraph 
(b)(1) of this Rule. 

Histoiy Note: Authority G.S. ^5.4-3: 75A-5: 75A-19: 33 

C.F.R. 174.21: 

Ejf. February- 1. 19^6: 

Amended Eff. Mr 1. 1998: April I. 199^: Februaiy 1. 1995: 

November I. 1993: July 1. 1988: April 19. 1981. 

SUBCHAPTER lOH - REGULATED ACTIVITIES 

SECTION .0800 - FALCONRY 

.0802 PERMIT AND LICENSE REQUIREMENTS 

(a) No person shall take a raptor in this state for falconry 
purposes without having first obtained: 

(1) either: 

(A) a resident falconn. permit issued b\' this 
state; or 

(B) a General or Master Class falconrv' pennit as 
defined in Rule .0801 of this Section from 
another state that issues non-resident 
falconry permits or licenses: and 

(2) a North Carolina resident or non-resident falconn. 
license as required b\ G.S. 1 13-270. 3(b)(4). 

(b) No person shall possess, transport, or import a raptor 
for falconr\ purposes or practice falconn.' in this state w ithout 
having first obtained and ha\ing in possession: 

(1) a falconn. permit as defined in Rule .0801 of this 
Section from this state or another state that issues 
non-resident falconry permits or licenses, 

(2) a North Carolina resident or non-resident falconr}, 
license as required b> G.S.I 13-270. 3(b)(4). 

(3) any other general purpose or special puipose 
license required b\ the applicable laws of this state. 

Histoiy Note: .Authority G.S. 1 1 3-1 34: I l3-:~0.3ihj(4}: 50 
C.F.R. 21.28: 50 C.F.R. 21.29: 
Eif. September 1 . I9'9: 
Amended Efi: July 1 . 1998. 

.0810 TAKING RAPTORS 

No raptor shall be taken from the w ild in this state except b\ 
a person holding a currently valid falconn. permit as defined 
in Rule .0801 of this Section from this state or another state 
that issues non-resident falconn. permits or licenses and a 
currently valid resident or non-resident falconry license, and 
then onl\ in accordance with the following instructions: 

(1) Young birds not capable of flight (e_\asses) ma\ not 
be taken without a special pennit issued by the 
commission. These pennits shall be issued onl> to 
persons holding general or master class falconry 
pennits and are valid during the period Max 1 
through .lune 30. No more than tuo e\ asses ma\ be 
taken b> the same pennitiee during this period. 

(2) First \ear (passage) birds ma\ be taken onh during 



the period September 4 through December 31, 
except that marked raptors may be retrapped at any 
time. 
(3) Only American kestrals (Faico sparverius) and great 
horned owls (Bubo Virginianus) may be taken 
w hen over one year old, except that any raptor other 
than an endangered or threatened species taken 
under a depredation or other special purpose permit 
issued b\ the U.S. Fish and Wildlife Service ma> be 
used for falconn, by general and master class 
falconers. 

History Note: Authority G.S 113-134; 1 13-270.3(bj(4): 50 

C.F.R. 21.29: 

Eff. September 1. 19-9: 

Amended Eif. July 1 . 1998. 



TITLE 16 - DEPARTMENT OF PUBLIC 
EDUCATION 

CHAPTER 6 - ELEMENTARY AND SECONDARY 
EDUCATION 

SUBCHAPTER 6C - PERSONNEL 

SECTION .0600 - CODE OF PROFESSIONAL 

PRACTICE AND CONDUCT FOR NORTH 

CAROLINA EDUCATORS 

.0602 STANDARDS OF PROFESSIONAL 
CONDUCT 

(a) The standards listed in this Section shall be generally 
accepted for the education profession and shall be the basis 
for State Board review of perfomiance of professional 
educators. These standards shall establish mandator} 
prohibitions and requirements for educators. Violation of 
these standards shall subject an educator to investigation and 
disciplinan action b\ the SBE or LhA. 

(b) Professional educators shall adhere to the standards of 
professional conduct contained in this Rule. An\ intentional 
act or omission that violates these standards is prohibited. 

( 1 ) Generally recognized professional standards. The 
educator shall practice the professional standards of 
federal, state, and local governing bodies. 

(2) Personal conduct. The educator shall serve as a 
positive role model for students, parents, and the 
community . Because the educator is entrusted w ith 
the care and education of small children and 
adolescents, the educator shall demonstrate a high 
standard of personal character and conduct. 

(3) Honesty. The educator shall not engage in conduct 
in\oKing dishonest}, fraud, deceit, or 
misrepresentation in the performance of 
professional duties including the following: 

(A) statement of professional qualifications; 

(B) application or recommendation for 



B:l 



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115 



APPROVED RULES 



professional employment, promotion, or 
licensure; 

(C) application or recommendation for college or 
university admission, scholarship, grant, 
academic award, or similar benefit; 

(D) representation of completion of college or 
staff development credit; 

(E) evaluation or grading of students or 
personnel; 

(F) submission of financial or program 
compliance reports submitted to state. (6) 
federal, or other gov emmental agencies; 

(G) submission of information in the course of 
an official inquirv bv the employing LEA or 
the SBE related to facts of unprofessional 
conduct, provided, however, that an educator 
shall be given adequate notice of the 
allegations and may be represented b\ legal (7) 
counsel; and 

(H) submission of infomiation in the course of 

an investigation b\ a law enforcement (8) 

agency, child protective services, or any 
other agency with the right to investigate, (9) 

regarding school related criminal activity: 
provided, however, that an educator shall be 
entitled to decline to give evidence to law 
enforcement if such evidence mav tend to 
incriminate the educator as that term is 
defined b\ the Fifth Amendment to the U.S. 
Constitution. 

(4) Proper remunerative conduct. The educator shall 
not solicit current students or parents of students to 
purchase equipment, supplies, or services from the 
educator in a private remunerative capacitv. An 
educator shall not tutor for remuneration students 
currentlv assigned to the educator's classes, unless 
approved by the local superintendent. An educator 
shall not accept anv compensation, benefit, or thing 
of value other than the educator's regular 
compensation for the perfomiance of any service ( 10) 
that the educator is reqLiired to render in the course 

and scope of the educator's employment. This Rule 
shall not restrict performance of any overtime or 
supplemental services at the request of the LEA; (11) 

nor shall it appK to or restrict the acceptance of 
gifts or tokens of minimal value offered and 
accepted openK from students, parents, or other 
persons in recognition or appreciation of service. 

(5) Conduct v\ith students. The educator shall treat all 
students with respect. The educator shall not 

commit anv abusive act or sexual exploitation v\ith. (12) 

to. or in the presence of a student, whether or not 
that student is or has been under the care or 
supervision of that educator, as defined belov\: 

(A) any use of language that is considered 
profane, vulgar, or demeaning; 

(B) anv sexual act; (13) 

(C) anv solicitation of a sexual act. whether 



written, verbal, or physical; 

(D) any act of child abuse, as defined by law; 

(E) any act of sexual harassment, as defined by 
law; and 

(F) anv intentional solicitation, encouragement, 
or consummation of a romantic or physical 
relationship with a student, or anv sexual 
contact with a student. The term "romantic 
relationship" shall include dating any 
student. 

Confidential information. The educator shall keep 
in confidence personally identifiable information 
regarding students or their family members that has 
been obtained in the course of professional service, 
unless disclosure is required or pennitted b\ law or 
professional standards, or is necessan for the 
personal safety of the student or others. 
Rights of others. The educator shall not willfully or 
maliciouslv violate the constitutional or civ il rights 
of a student, parent/legal guardian, or colleague. 
Required reports. The educator shall make all 
reports required by G.S. 1 1 5C. 
Alcohol or controlled substance abuse. The 
educator shall not: 

(A) be under the influence of. possess, use, or 
consume on school premises or at a school- 
sponsored activity a controlled substance as 
defined by G.S. 90-95. the Controlled 
Substances Act. v\ithout a prescription 
authorizing such use; 

(B) be under the influence of. possess, use. or 
consume an alcoholic beverage or a 
controlled substance on school premises or 
at a school-sponsored activitv' involving 
students; or 

(C) furnish alcohol or a controlled substance to 
any student except as indicated in the 
professional duties of administering legally 
prescribed medications. 

Compliance with criminal laws. The educator shall 
not commit anv act referred to in G.S. 1 15C-332 
and anv felony under the lav\s of the United States 
or of anv state. 

Public funds and propeity . The educator shall not 
misuse public funds or property, funds of a school- 
related organization, or colleague's funds. The 
educator shall account for funds collected from 
students, colleagues, or parents legal guardians. The 
educator shall not submit fraudulent requests for 
reimbursement, expenses, or pay. 
Scope of professional practice. The educator shall 
not perform anv act as an employee in a position for 
which licensure is required bv the rules of the SBE 
or bv G.S. 1 I5C or the North Carolina General 
Statutes during anv period in which the educator's 
license has been suspended or revoked. 
Conduct related to ethical violations. The educator 
shall not directlv or indirectiv use or threaten to use 



116 



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13:1 



APPROVED RULES 



any official authority or influence in an> manner 
that tends to discourage, restrain, interfere with, 
coerce, or discriminate against any subordinate or 
any licensee who in good faith reports, discloses, 
divulges, or otherwise brings to the attention of an 
LEA, the SBE. or any other public agenc\ 
authorized to take remedial action, any facts or 
information relative to actual or suspected violation 
of an\ law regulating the duties of persons serving 
in the public school s\stem. including but not 
limited to these Rules. 

Histoiy Note: Autliorin- C.S. 1 15C-29: 3: 
Effi May !. 1998. 

CHAPTER 7 - NORTH CAROLINA STANDARDS 
BOARD FOR PUBLIC SCHOOL ADMINISTRATION 

SECTION .0200 - EXAMINATION PROCEDURES 

.0202 WRITTEN EXAMINATION 

(a) Three written exams shall be held in locations 
throughout the state during a calendar year. 

(b) The State Board of Education shall adopt the exam. 
The passing score for the Exam shall be 1 55. The Exam shall 
be graded b> Educational Testing Service. Applicants ma\ 
retake the examination at subsequent scheduled 
administrations. 

History Note: Aiithorit}- G.S. 1 15C-290.5(a/l6): 
Teniporaty Adoption Eff. Jaimaiy I. 1998: 
Eff.Jiih- i. 1998. 



TITLE 17 - DEPARTMENT OF REVENUE 

CHAPTER 5 - CORPORATE INCOME AND 
FRANCHISE TAX DIVISION 

SUBCHAPTER 5B - FRANCHISE TAX 

SECTION .1400 - APPRAISED VALUATION OF 
TANGIBLE AND INTANGIBLE PROPERTY BASE 

.1402 CARRIER OPERATIONS APPRAISED 
PROPERTY EXEMPT 

History Note: Aiithorit}- G.S. 105-122: 105-262: 
Eff. Febrnaiy 1, 1976: 
.Amended Eff. Janitary I. 1994: 
Repealed Eff. May 1. 1998. 

SECTION .1700 - CORPORATIONS 
CONDITIONALLY OR PARTIALLY EXEMPT 



.1703 



FRANCHISE MOTOR CARRIERS 



Histoiy Note: .Authority G.S. 105-122: 105-262: 
Eff. February 1. 1976: 
.Amended Eff Januaiy 1. 1994: 
Repealed Eff. Mar 1.' 1998. 



TITLE 18 - SECRETARY OF STATE 

CHAPTER 6 - SECURITIES DIVISION 

SUBCHAPTER 6 - RECORDS 

SECTION .1 100 - GENERAL PROVISIONS 

.1104 DEFINITIONS 

As used in this Chapter, the follow ing terms mean: 
1 1 ) "Act" shall mean the North Carolina Securities Act. 
Chapter 78A of the North Carolina General 
Statutes, as same has been or may be from time to 
time amended. 

(2) "Commercial Paper," as referred to in G.S. 
78A- 16(10), shall mean any note, draft, bill of 
exchange or bankers acceptance which arises out of 
a current transaction or the proceeds of which have 
been or are to be used for current transactions, and 
which has a maturity at the time of issuance not 
exceeding nine months, exclusive of da\s of grace, 
or an> renewal thereof the maturit\ of which is 
likewise limited or any guarantee of such paper or 
of anN such renewal. Commercial paper shall also 
exemplify the following characteristics: 

(a) prime quality negotiable paper of a type not 
ordinariN purchased b\ the general public; 

(b) issued to facilitate well recognized types of 
current operational business requirements; 
and 

(c) of a type eligible for discounting b_\ Federal 
Reserve Banks. 

(3) "Direct Participation Program" shall mean a 
program which provides for flow-through tax 
consequences regardless of the structure of the legal 
entit> or \ ehicle for distribution including, but not 
limited to. oil and gas programs, real estate 
programs, agricultural programs, cattle programs, 
condominium securities, and all other programs of 
a similar nature, regardless of the industry 
represented b\ the program, or any combination 
thereof A program ma\ be composed of one or 
more legal entities or programs but when used 
herein and in an> rules adopted pursuant hereto the 
term shall include each of the separate entities or 
programs making up the overall program and the 
overall program itself Excluded from this 
definition are Subchapter S corporate offerings, real 
estate investment trusts, tax qualified pension and 
profit sharing plans pursuant to Sections 401 and 
403 (a) of the Internal Revenue Code and individual 



13:1 



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117 



APPROVED RULES 



retirement plans under Section 408 of that Code, 
and an\ conipan\ registered pursuant to tiie 
Investment Company Act of 1940. 

(4) "SEC" shall mean the Securities and Exchange 
Commission. 

(5) "NASD" shall mean the National Association of 
Securities Dealers, inc. 

(6) "NASAA" shall mean the North American 
Securities Administrators Association. Inc. 

(7) "CRD" shall mean the Central Registration 
Depositor). 

(8) "Investment Contract" as used in G.S. 78A-2t 1 1 ) 
includes: 

(a) An\ investment in a common enterprise with 
the expectation of profit to be derived 
through the essential managerial efforts of 
someone other than the investor. In this 
Subparagraph a "common enterprise" means 
an enterprise in which the fortunes of the 
investor are interwov en w ith and dependent 
upon the efforts and success of those seeking 
the in\estment or of a third part\: and 

(b) An\ investment b\ which an offeree 
furnishes initial value to an offeror, and a 
portion of this initial value is subjected to the 
risks of the enterprise, and the furnishing of 
this initial value is induced b\ the offeror's 
promises or representations which give rise 
to a reasonable understanding that a \ aluable 
benefit of some kind o\er and above the 
initial value will accrue to the offeree as a 
result of the operation of the enterprise, and 
the offeree does not receive the right to 
exercise practical and actual control over the 
managerial decisions of the enterprise. 

(9) "Recognized Securities Manual" shall mean a 
publication which contains the information required 
by G.S. 78A-17(2)a. and which has been 
designated, pursuant to G.S. 78A-49. as a 
"recognized securities manual" b\ the 
administrator. 

( 10) "Fomi D" shall mean the document adopted b\ the 
Securities and Exchange Commission, in effect on 
September 1, 1996 and as may be amended b\ the 
SEC from time to time, entitled "FORM D; Notice 
of Sale of Securities pursuant to Regulation D. 
Section 4(6). and or Uniform Limited Offering 
Exemption." including Part E and the .Appendix. 

Histoiy Note: Aiahorin G.S. ~8A-49(a): 

Eff. April 1. 1981: 

Amended Ejf. Seplember I. 1990: October I. 19,SS: Jciniiur 

1. 1984: 

Temporary .Amendment Eff. October 1. 199~: 

Amended Eff. August 1. 1998. 

SECTION .1200 - EXEMPTIONS 



.1206 LIMITED OFFERING EXEMPTION 

PURSUANT TO G.S. 78A-17(17) 

(a) Transactions made in reliance upon Rule 505 of 
Regulation D promulgated b> the Securities and Exchange 
Commission under the Securities Act of 1 933. as amended. 1 7 
C.F.R. 230.505 (1982) and (and as subsequently amended), 
including any offer or sale made exempt b\ application of 
Rule 508(a). as made effective in Release No. 33-6389 and as 
amended in Release Nos. 33-6437. 33-6663. 33-6758. and 
33-6825. shall be exempt from the requirements of G.S. 
78A-24. provided there is compliance with the conditions and 
limitations of this Rule .1206 and Rules .1207 and .1208 of 
this Section. 

(b) No exemption under this Rule . 1 206 is available for the 
offer or sale of securities if the issuer or an\ other person or 
entitN to which Rule .1206 applies is disqualified pursuant to 
Rule .1207 of this Section unless the administrator, upon 
application and a showing of good cause b\ the issuer, or such 
other person or entit>, modifies or waives the disqualification. 
For purposes of this Rule .1206. "good cause" means a 
substantial reason amounting in law to a legal excuse for 
noncompliance with a restriction imposed b> Rule .1207. and 
shall be relevant to considerations of the public interest, the 
protection of the investing public, the age and nature of the 
particular disqualifying event, the business experience, 
qualifications, and disciplinar\ histor> of the disqualified 
person, the need for full disclosure of information relev ant to 
investment decisions, and the burden and cost of compliance 
vs ith regulator*' requirements applicable to the transaction in 
the absence of the availabilit\ of the exemption. 

(c) No commission, discount, finder's fee or other similar 
remuneration or compensation shall be paid, directly or 
indirectlv. to an\ person for soliciting anv prospective 
purchaser of anv security sold to a resident of this State in 
reliance upon the exemption provided bv this Rule .1206 
unless such person is either registered pursuant to G.S. 
78A-36 or exempt from registration thereunder or the issuer 
reasonablv believes that such person is so registered or exempt 
therefrom. 

(d) In all sales to those accredited investors defined in 17 
C.F.R. 230.501(a)(5) who reside in this State (except sales to 
such accredited investors made bv or through a dealer 
registered under G.S. 78A-36) and in all sales to 
nonaccredited investors who reside in this State the issuer and 
anv person acting on its behalf shall have reasonable grounds 
to believe and after making reasonable inquirv shall believe 
that one of the follow ing conditions is satisfied: 

( 1 ) The investment is suitable for the purchaser upon 
the basis of the facts, if anv. disclosed bv the 
purchaser as to his her other securitv holdings and 
as to his/her financial situation and needs. For the 
purpose of this condition onlv. it mav be presumed 
that if the investment does not exceed 10 percent of 
the investor's net worth, it is suitable. 

(2) The purchaser, either alone or v\ith his her 
purchaser representative(s). has such knowledge 
and experience in financial and business matters 
that he/she is or thev are capable of evaluating the 



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merits and risks of the prospective investments. 

(e) In all sales of direct participation programs securities 
pursuant to the exemption provided by this Rule .1206. the 
provisions of Rule . 1 3 1 3 of this Chapter regarding registered 
offerings of direct participation program securities shall be 
applicable in addition to all other requirements of this Rule 
.1206. 

(f) Any prospectus or disclosure document used in this 
state in connection with an offer and sale of securities made in 
reliance upon the exemption provided b\ this Rule .1206 shall 
disclose conspicuously the legend! s) required by the 
provisions of Rule .1316 of this Chapter. 

(g) Nothing in the exemption provided b\ this Rule .1206 
is intended to or shall be construed as in an\ \\a\ relie\ ing the 
issuer or an\ person acting on behalf of the issuer from 
providing disclosure to prospective investors adequate to 
satisfv the antifraud provisions of the Act. 

(h) Transactions which are exempt under this Rule ma\ not 
be combined with offers and sales exempt under an} other rule 
or section of this Act: however, nothing in this limitation shall 
act as an election. Should for an\ reason, an offer and sale of 
securities made in reliance upon the exemption provided b> 
this Rule .1206 fail to comply with all of the conditions 
hereof, the issuer ma> claim the availability of an\ other 
applicable exemption. 

(i) A failure to compK with a term, condition or 
requirement of Subparagraphs (a)(2) and (a)(3l of this Rule 
w ill not result in loss of the exemption from the requirements 
of G.S. 78A-24 for an> offer or sale to a particular indi\ idual 
or entity if the person reiving on the exemption shovss: 

(1) the failure to compiv did not pertain to a tenn. 
condition or requirement directiv intended to 
protect that particular individual or entity : and 

(2) the failure to compiv was insignificant v\ith respect 
to the offering as a whole: and 

(3) a good faith and reasonable attempt was made to 
compiv with all applicable terms, conditions and 
requirements of Subparagraphs (a )( 2 ) and ( a )( 3 ). 

Where an exemption is established onlv through reliance upon 
this Subparagraph (8) of this Rule, the failure to compiv shall 
nonetheless be actionable bv the administrator under G.S. 
78A-47. 

(]) In anv proceeding involving this Rule .1206. the burden 
of proving the exemption or an exception from a definition or 
condition is upon the person claiming it. 

(k) In view of the objective of this Rule .1206 and the 
purpose and policies underlv ing the Act. this exemption is not 
available to anv' issuer v\ ith respect to anv transaction which, 
although in technical compliance with this Rule .1206. is part 
of a plan or scheme to evade registration or the conditions or 
limitations explicith stated in this Rule .1206 or Rules .1207 
and .1208 of this Section. The administrator mav. bv order, 
waive anv condition of or limitation upon the availabilitv of 
the exemption provided bv this Rule .1206. 

(1) In determining whether to waive a condition of or 
limitation on the availabilit> of the exemption pro\ ided bv this 
Rule .1206. the Administrator shall consider matters and 
information relevant to the public policv intended bv G.S. 



78A. which is the protection of the investing public from 
persons effecting securities transactions bv emplov ing devices, 
schemes, or artifices to defraud, making untrue statements of 
material fact or misleading omission of material fact, and 
engaging in acts, practices, or courses of business v\hich 
operate or would operate as a fraud or deceit upon anv person. 
Such considerations shall include, but not be limited to the 
foilov\ing: 

( 1 ) the need for full and adequate disclosure of 
information relevant to inv estment decisions: 

(2) the business historv. qualifications, and disciplinary 
history of the person or persons effecting the 
securities transactions: 

(3) the experience, suitabilitv. character, expertise, and 
financial strength of the offerers in the particular 
transaction: 

(4) the costs of compliance with applicable regulatory 
requirements: 

(5 ) the benefits to the particular inv estors and to the 
general investing public of compliance with 
applicable regulators requirements: 

(6) the temis. conditions, and provisions of the 
particular securities transaction: and 

(7) an> other factors which are relevant to the 
protection of the investing public. 

(m) The exemption provided by this Rule .1206 shall be 
known and mav be cited as the "North Carolina Limited 
Offering Exemption." 

(n) Pursuant to G.S. 78A-18. the administrator may by 
order denv or revoke the exemption provided by this Rule 
.1206 with respect to a specific securitv' or securit}' 
transaction. 

Histoiy Note: Filed as a Temporaiy Rule Eff. October 1. 

1 983. for a period of 120 dens to expire on Juiniaiy 29. 1 984: 

Authorit}- G.S. '8.4-1 '7(1 7),- 78.4-49(a): 

Eff.Jamiaiy 1. 1984: 

.Amended Eff September 1. 1990: October 1. 1988: 

Temporaiy .Amendment Eff. October 1. 1997: 

.Amended Eff .41ISU.SI I. 1998. 

.1212 NOTICE FILING PROCEDURES FOR 
OFFERINGS OF INVESTMENT COMPANY 
SECURITIES 

(a) In lieu of filing a cop\ of the federal registration 
statement, an investment company offering securities covered 
under Section 18(b)(2) of the Securities Act of 1933. as 
amended, mav satisfy the notice filing requirement of G.S. 
78A-3 1(a) bv filing the fees required by that section, together 
w ith Form NF. Uniform Investment Company Notice Filing. 
This filing need not be made nor fees paid on anv security 
issued bv an investment company if such security is exempt 
pursuant to the provisions of G.S. 78A-16 or 78A-I7. 

(b) Bv filing Fonn NF. an investment companv therebv 
agrees that, upon receipt of a request from the Securities 
Division, the invesmient companv will promptiv- provide to the 
Div ision a copv of its current prospectus and statement of 
additional infomiation. if anv. as filed with the Securities and 



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119 



APPROVED RILES 



Exchange Commission. 

icl B_\ executing the Fonri NT. the in\estment compan> 
thereb>- agrees, that for purposes ofcomphing with the laws 
of this State, such execution shall be deemed to be the consent 
of the in\estment compan\ to have the Administrator 
irrevocably appointed as its agent in this State upon whom 
ma% be ser% ed an\ notice, process or pleading in an> action or 
proceeding against it arising out of or in connection \\ ith. the 
sale of securities co\ered b> such Form NF or arising out of 
the violation of the securities laws of this State: and that any 
action or proceeding against the in\estment compan\ ma\- be 
commenced in an\ court of competent jurisdiction and proper 
venue within this State b\ ser\ice of process upon the 
Administrator with the same effect as if the in\estment 
compan> was organized or created under the laws of this State 
and had been served lawfulK with process in this State. In the 
e\ent an\ notice, process or pleading is ser\ed on the 
in\estment company through the .Administrator, the 
Administrator shall prompth pro\ide a cop> of such notice. 
process, or pleading to the person indicated in Item 5 of Form 
\F. 

(d) L'pon filing Fonn NF and pa\ing either the minimuin or 
maximum fees required b> G.S. 78A-31(a)(l ). the securities 
of the in\estment compan\ ma\ be offered for sale and sold 
into. from, and within this State until the expiration of the 
notice filing period pursuant to G.S. 78.-\-31(al(4). In order 
to offer or sell its securities after the expiration of its notice 
filing, the in\estment compan\ must extend its notice filing as 
pro\ided in subsection (f) of this Rule. In the e\ent that the 
Securities Di\ision requests that the in\estment compan> 
pro\ide it with a cop\ of the in\estment compan\'s prospectus 
or statement of additional infomiation. such request shall not 
restrict the abilit\ of the in\estment compan\ to offer its 
securities for sale in this State pro\ ided that the Di\ ision has 
receixed the Form NT and fees as required b\ G.S. 78A-3 1(a). 

(e) .An\ in\estment compan\ that elects to pay a fee less 
than the maximum fee as pros ided in G.S. 78.A-3l(a) shall file 
a sales report on Form NF. with the Di\ision. within two 
months after the expiration of the notice filing period. 

(f) A notice filing ma> be renewed b\ the in\estment 
compan\ b_\ filing a current Form NF and pa> ing such fees as 
are required b\ G.S. 78.A-31(a) within n\o months after the 
expiration of the prior notice filing period. Each renewal of 
a notice filing shall expire on December 3 1 . 

(g) Amendments to increase the amount of shares to be 
offered ma\ be made b\ filing a re\ ised Form NF. together 
with the fees required b\ G.S. 78.A-" :(a)(5). 

Hisroij \oie: Authority G.S. '8.4-31 ta): 'S.A-49iai: 
Temporal-}- .Adoption Eff'. October 1. 199': 
Eff .August I. 1998. 

SECTION .1400 - REGISTRATION OF DEALERS 
ANDSALES.MEN 

.1401 APPLICATION FOR REGISTRATION OF 
DEALERS 

■ a) The application for registration as a dealer shall contain 



the following: 

( 1 ) an executed Uniform .Application for Registration 
as a Dealer (Form BD) and the appropriate 
schedules thereto or the appropriate successor form: 

(2) a fee in the amount of two hundred dollars 
(S200.00): 

(3) e\ idence of current registration as a dealer with the 
Securities and Exchange Commission under the 
Securities Exchange Act of 1934: 

(4) e\idence of compliance with Rule .1410 of this 
Section: and 

(5) an\ other information the administrator ma\ from 
time to time require which is rele\ant to the 
applicant's qualifications to engage in the business 
of acting as a dealer in securities. 

(b) The application for registration as a dealer shall be filed 
as follows: 

(1 ) NASD member dealers shall file applications for 
initial registration in the State of North Carolina 
with the N.ASAANiASD Central Registrafion 
Depositor.. P.O. Box 37441. Washington. D.C. 
20013 and shall file a manual 1_\ executed Form BD 
directK w ith the Securities Di\ ision. .Applications 
for renewal of registration shall be filed onh with 
the Central Registration Depositon. (see Rule .1406 
of this Section): 

(2) Non-N.ASD member dealers shall file all 
applications for registration in the State of North 
Carolina directl_\ w ith the Securities Di\ ision. 

(c) The dealer shall file with the administrator, as soon as 
practicable but in no e\ent later than 30 da>s following such 
e\ent. notice of an\ disciplinary action taken against the dealer 
b\ an\ exchange of which the dealer is a member: the 
Securities and Exchange Commission: the Commodity Futures 
Trading Commission: an> national securities association 
registered with the Securities and Exchange Commission 
pursuant to Section 15A of the Securities Exchange Act of 
1934 or an\- state securities commission and of any civil suit 
filed against the dealer alleging \iolation of any federal or 
state securities laws. If the information contained in an\ 
document filed with the administrator is or becomes inaccurate 
or incomplete in an) material respect, the dealer shall file a 
correcting amendment as soon as practicable but in no event 
later than 30 daxs following the date on which such 
information becomes inaccurate or incomplete. 

(d) Registration becomes effectixe at noon of the 30th da> 
after a completed application is filed or such earlier time upon 
issuance of a licen-e or written notice of effecti\e registration, 
unless proceedings are instituted pursuant to G.S. 78A-39. 
The administrator ma_\ b\ order defer the effecti%e date after 
the filing of an> amendment but no later than noon of the 30th 
da\ after the filing of the amendment. 

(e) E\er> dealer shall notify the administrator of an\ 
change of address, the opening or closing of an\ office 
(including the office of an\ salesman operating apart I'om the 
dealer's premises) or an\ material change thereto, in writing as 
soon as practicable or b\ filing concurrentK upon filing w ith 
NASD an appropriate amendment or schedule to Form BD or 



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APPROVED RULES 



any successor form. 

History Note: Authority G.S. 78A-36(a}: 78A-i:'(a): 

78A-37(h): 78A-37(d): 78A-38{c): 7SA-49(a): 

Eff. April 1. 1981: 

Amended Eff. September 1. 1990: October 1 . 1988: Jamiaiy 

1. 1984: November 1. 1982: 

Temporary Amendment Eff. October I, 1997: 

Amended Eff. .August L 1998. 

SECTION .1500 - MISCELLANEOUS PROVISION 

.1509 FORMS 

History Note: Authority G.S. ^8A-49: 

EJf. April 1. 1981: 

Amended Ejf. September 1, 1990: October I. 1988: January 

I. 1984: 

Temporary Amendment Eff. October 1, 1997; 

Repealed Eff A usust 1, 1998. 

SECTION .1700 - REGISTRATION OF 

INV ESTMENT ADVISERS AND IN\ ESTMENT 

ADVISER REPRESENTATIVES 

.1702 APPLICATION FOR INVESTMENT 

ADVISER REGISTRATION/NOTICE FILING 
FOR INVESTMENT ADVISER COVERED 
UNDER FEDERAL LAW 

(a) The application for initial registration as an investment 
ad\iser pursuant to Section 78C-I7(a) of the Act shall be filed 
upon Fonn ADV (Uniform Application for Investment 
Adviser Registration) (17 C.F.R. 279.1) with the 
administrator. The initial application shall include the consent 
to service of process required b\ Section 78C-46(b) of the 
Act. and shall include the following: 

(1 ) A statement ■ certificate showing compliance b> 
the invesmiL.:! adviser with the examination 
requirements ol ' jie.1709; 

(2 ) Such financial statements as set forth in Rule . 1 708. 
including at the time of application, a cop\ of the 
balance sheet for the last fiscal \ear. and if such 
balance sheet is as of a date more than 45 days from 
the date of filing of the application, an unaudited 
balance sheet prepared as set forth in Rule . 1 708 as 
of a date within 45 days of the date of filing; 

(3) Evidence of compliance with the minimum 
financial requirements of Rule .1704; 

(4) A cop\ of the suret> bond required by Section 
78C-I7(e). if applicable; 

(5) The fee required b\ Section 78C- 1 7(b) of the Act; 
and 

(6) An\ other infonnation the administrator may from 
time to time require which is rele\ant to the 
applicant's qualifications to engage in the business 
of acting as an investment adviser. 

(b) The application for renewal of registration as an 
in\estment ad\ iser shall be filed on an amended Form ADV 



and shall contain the following: 

( 1 ) A copy of the surety bond required by Rule . 1 705, 
if applicable; and 

(2) The fee required by Section 78C- 17(b) of the Act. 

(c) The investment adviser shall file with the administrator, 
as soon as practicable but in no event later than 30 days 
following the filing of charges, notice of any civil, criminal or 
administrative charges filed against the investment adviser 
which relate directl> or indirectly to its activities in the 
securities or financial services business. This notice shall 
include notification of an\ investigation by any securities, 
commodities, or other financial services regulatorv agency and 
an\ disciplinarx, injunctive, restraining, or limiting action 
taken by such agencies, by any court of competent 
jurisdiction, or by any state administrator with respect to the 
investment adviser's activities in the securities or financial 
services business. Any amendment required by Section 
78C- 18(d) of the Act for an investment adviser shall be made 
on Fomi ADV in the manner prescribed by that form. Any 
amendment to Fomi ADV shall be filed with the administrator 
w ithin the time period specified in the instructions to that form 
relating to filings made with the Securities and Exchange 
Commission. 

(d) Registration becomes effective at noon of the 30th day 
after a completed application is filed or such earlier time upon 
issuance of a license or written notice of effective registration, 
unless proceedings are instituted pursuant to G.S. 78C-19. 
The administrator may b\ order defer the effective date after 
the filing of any amendment but no later than noon of the 30th 
day after the filing of the amendment. 

(e) Even, investment adviser shall notify the administrator 
of an\ change of address, the opening or closing of any office 
(including the office of any investment adviser representative 
operating apart from the investment adviser's premises) or any 
material change thereto, in writing as soon as practicable. 

(f) The registration of an investment adviser shall expire on 
December 3 I of each _\ear unless timeK renewed. 

(g) The notice filing for an investment adviser covered 
under federal law pursuant to G.S. 78C-I7(al ) shall be filed 
w ith the Administrator or with a central registration depository 
designated b> the Administrator b\ filing a copy of the 
executed Form ADV [Unifomi Fonn for Investment Adviser 
Registration (17 C.F.R. 279.1)] most recently filed by the 
investment adviser with the Securities Exchange Commission, 
and shall include the fee required under G.S. 78C-I7(bl ). 

(h) Notice filings for investment advisers covered under 
federal law shall expire on December 31 each year unless 
renewed prior to expiration. The renewal of the notice filing 
for an investment adviser covered under federal la\^ pursuant 
to G.S. 78C-17(al) shall be made by filing with the 
Administrator a cop\ of the most recent Schedule 1 to the 
Fonn ADV most recently filed by the investment adviser with 
the Securities and Exchange Commission, and shall include 
the fee required under G.S. 78C-I7(bl) 

History Note: Filed as a Temporary Rule Eff Januaiy 2. 
1 989. for a period of 1 80 days to expire on June 30. 1989: 
Auihoriiv G.S 78C-16fb): 78C-I6(d): 78C-17fa): '78C- 



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121 



APPROVED RiLES 



rial): -8C-r(b): "SC-I'lblj: '8C-l'le): "SC-lSfd): 

78C-19(al: 78C-30(a): 78C-30(b): 78C-30(c): 78C-30(d): 

7 8C -46(h): 

Eff. Febniaij 1 . 1989: 

Temporary Amendment Eff. October 1. 199'^: 

Amended Eff. August 1. 1998. 

.1703 APPLICATION/INVESTMENT ADVISER 
REPRESENTATIVE REGISTRATION 

(a) The application for initial registration as an investment 
adviser representative pursuant to Section 78C- 17(a) of the 
Act shall be filed upon Form U-4 (Uniform Application for 
Securities Industry Registration or Transfer) \sith the 
administrator and contain the additional information required 
b\ this Rule. The initial application shall include the consent 
to ser\ice of process required b\ Section 78C-46(b) of the 
Act. The application for initial registration shall also provide 
the following: 

(1) A statement or certificate showing compliance b\ 
the investment ad\iser representative with the 
examination requirements of Rule .1709; and 

(2) The fee required b\ Section 78C- 17(b) of the Act. 

(b) The application for renewal of registration as an 
in\estment ad\iser representative shall be filed with the 
administrator. No renewal of registration as an investment 
ad\ iser representative shall be effected until the fee required 
b> Section 78C-17(b) of the Act is remitted to the 
administrator. 

(c) The investment adv iser representative, the investment 
adviser, or the investment adviser covered under federal lav\ 
for v\hich the investment adv iser representative is registered 
shall t1le with the administrator, as soon as practicable but in 
no event later than 30 davs following the filing of charges, 
notice of anv civil, criminal, or administrative charges tiled 
against the investment adviser representative which relate 
directK or indirect!} to his activities in the securities or 
financial services business. This notice shall include 
notification of an> investigation bv an> securities, 
commodities, or other financial ser\ ices regulatory agencv and 
anv disciplinar\. injunctive, restraining, or limiting action 
taken b\ such agencies. b> anv court of competent 
jurisdiction, or bv anv state administrator with respect to the 
investment adviser representative's activ ities in the securities 
or financial serv ices business. An\ amendment required b\ 
Section 78C- 18(d) of the Act for an investment adviser 
representative shall be made on Form 1-4 in the manner 
prescribed bv that fomi. Such amended Fomi L'-4 shall be 
filed with the administrator not later than 30 davs following 
the event necessitating such amendment. 

(d) Registration becomes effective at noon of the 30th dav 
after a completed application is filed or such earlier time upon 
approval of the application b\ the administrator, unless 
proceedings are instituted pursuant to G.S. 78C-I9. The 
administrator mav bv order defer the effective date after the 
filing of anv amendment but no later than noon of the 30th dav 
after the filing of the amendment. 

(e) The registration of anv investment adviser 
representative shall expire on December 31 of each vear 



unless renewed in a timelv fashion. The application for 
renevsal of registration of investment adviser representatives 
shall be submitted by the investment adviser or investment 
adviser covered under federal law. who shall file with the 
Securities Division a listing of all investment adviser 
representatives to be renewed along with their current 
addresses and social security' numbers. The investment 
adviser representative renewal list shall be submitted in 
alphabetical order as follows: last name, first name, middle 
name or maiden name; current address; social security 
number. A fee of forty-five dollars (S45.00) for each 
investment adv iser representative made pavable to the North 
Carolina Secretary of State shall be submitted along with the 
investment adviser representative renewal list. 

History Sole: Filed as a Temporaiy Rule Elf. January 2, 

1989. for a period of 180 da}-s to expire on June 30. 1989: 

Authorit}- G.S. '8C-!6lb): ^SC-l'ta): '8C-rib): '8C-18idl: 

'sC-l9iai: '8C-30laj: ''8C-30tb): ''8C-46(b): 

Eff February I. 1989: 

Temporaiy Amendment Eff October I. 199~: 

Amended Eff Ausust 1. 1998. 

.1705 BONDING REQUIREMENTS FOR CERTAIN 
INVESTMENT ADVISERS 

(a) Every investment adviser having custodv of or 
discretionary authoritv over client funds or securities shall be 
bonded in an. miount of not less than thirty-five thousand 
dollars (S35.000.00) b> a bonding companv qualified to do 
business in this state or in lieu thereof mav provide evidence 
of a deposit of cash or securities in such amount. The 
requirements of this Rule shall not apply to those applicants or 
registrants who complv' with the requirements of Rule .1704. 

(b) Should an investment adv iser's bond be terminated bv 
the surety resulting in the investment adviser's failure to meet 
the requirements of Paragraph (a) of this Rule and the bond 
was not tenninated due to fault of the investment adv iser. then 
the investment adviser shall be provided a reasonable time 
period up to six months, without the necessity of ceasing to do 
business as an investment adviser, to obtain another bond in 
order to meet the requirements of Paragraph (a) of this Rule 
provided that the invesmient adviser notifies the administrator 
in writing within two business davs of the termination of the 
bond and files such further information as the administrator 
mav require regarding the financial status of the investment 
adviser until evidence of compliance with Paragraph (a) of 
this Rule is prov ided. 

(c) The surety bond shall be filed w ith the administrator on 
Form NCIAB (North Carolina Securities Division Investment 
Adv iser's Bond) or on a form whose terms are substantiallv 
equivalent to the temis of Form CDCS-IA and which is 
approved as the substantial equivalent bv the Administrator. 
Evidence of a deposit of cash or securities shall be filed with 
the administrator on Form CDCS-IA (Certification of Deposit 
of Cash or Securities — Investment Advisers) or on a form 
whose temis are substantialK equivalent to the teniis of Fomi 
CDCS-IA and which is approved as the substantial equivalent 
bv the .Administrator. 



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(d) An investment adviser that has its principal place of 
business in a state other than this state shall be exempt from 
the requirements of Paragraph (a) of this Rule, provided that 
the investment adviser is registered as an investment adviser 
in the state where it has its principal place of business and is 
in compliance with such state's requirements relating to 
bonding, if any. 

Hlsloiy Note: Filed as a Temporaiy Rule Eff. Jamiaiy 2. 

1 989. for a period of 1 HO days to expire on June 30, 1 989: 

Authority G.S. 78C-17(d); 78C-18(b): 78C-18(c); 78C-30(a); 

Eff Fehruaiy 1 . 1989: 

Temporaiy Amendment Eff October 1, 1997; 

Amended Eff August 1. 199H. 

SECTION .1800 - MISCELLANEOUS PROVISION- 
INVESTMENT ADVISERS 

.1805 PERFORMANCE-BASED COMPENSATION 
EXEMPTION 

(a) For purposes of this Rule: 

(1) "Affiliate" shall have the same definition as in 
Section 2(a)(3) of the federal Investment Company 
Act of 1940; 

(2) "Client's independent agent" means any person who 
agrees to act as an investment advisory client's 
agent in connection with an ad\ isor> contract, but 
does not include: 

(A) The investment adviser relying on this Rule; 

(B) An affiliat d person of the investment 
adviser or an affiliated person of an affiliated 
person of the investment adviser including 
an investment adviser representative; 

(C) An interested person of the investment 
adviser; 

(D) A person who receives. directl_\ or indirectK. 
any compensation in connection with the 
advisory contract from the investment 
adviser, an affiliated person of the 
investment adviser, an affiliated person of an 
affiliated person of the investment adviser or 
an interested person of the investment 
adviser; or 

(E) A person uith an> material relationship 
between himself (or an affiliated person of 
that person) and the investment adviser (or 
an affiliated person of the investment 
adviser) that exists, or has existed at any time 
during the past two years; 

(3) "Company" means a corporation, partnership, 
association, joint stock company, trust, or any 
organized grou]-' of persons, whether incorporated 
or not; or any receiver, trustee in a case under Title 
1 1 of the United States Code, or similar otTicial or 
any liquidating agent for anv of the foregoing, in 
his capacity as such. 'Compan>" shall not include: 
(A) A company required to be registered under 

the federal Investment Compan> Act of 1940 



but which is not so registered; 

(B) A private investment compan) (for purposes 
of this Subparagraph (B), a private 
investment company is a company which 
would be defined as an investment company 
under Section 3(a) of the federal Investment 
Company Act of 1 940 but for the exception 
from that definition provided by Section 
3(c)(1) of that act); 

(C) An investment company registered under the 
federal hivesmient Company Act of 1 940; or 

(D) A business development company as defined 
in Section 202(a)(22) of the federal 
Investment Company Advisers Act of 1940, 
unless each of the equity owners of any such 
company, other than the investment adviser 
entering into the contract, is a natural person 
or compan\ within the meaning of 
Subparagraph (a)(3) of this Rule; 

(4) "Interested person" means: 

(A) Anv parent, spouse, child, or brother or sister 
of any natural person who is an affiliated 
person of the investment adviser; 

(B) Any person who knowingly has any direct or 
indirect beneficial interest in. or who is 
designated as trustee, executor, or guardian 
of an> legal interest in, any security issued 
b\ the investment adviser or b\ a controlling 
person of the investment adviser if that 
beneficial or legal interest exceeds: 

(i) one tenth of one percent of any class 
of outstanding securities of the 
investment adviser or a controlling 
person of the investment adviser; or 

(ii) five percent of the total assets of the 
person seeking to act as the client's 
independent agent; or 

(C) Any person or partner or employee of any 
person who. at any time since the beginning 
of the last two years, has acted as legal 
counsel for the investment ad\ iser. 

(b) Notwithstanding Section 78C-8(c)(l) of the Act, an 
investment adviser may enter into, extend or renew an 
investment advisor, contract which provides for compensation 
to the in\estment adviser on the basis of a share of capital 
gains upon or capital appreciation of the funds, or any portion 
of the funds, of the client if the conditions in Subparagraphs 
(c) through (h) of this Rule are met. 

(c) The client entering into the contract must be: 

( 1 ) A natural person or a compan\ w ho, immediately 
after entering into the advisory contract has at least 
five hundred thousand dollars ($500,000.00) under 
the management of the investment adviser; or 

(2) A person who the investment adviser and its 
investment adviser representatives reasonabK 
believe, immediately before entering into the 
contract, is a natural person or a company whose 
net worth, at the time the contract is entered into. 



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123 



APPROVED RULES 



exceeds one million dollars (SI. 000.000.00). 
For purposes of this Rule, the term "net worth" shall have the 
same meaning as that provided b> Rule .1313(b)(2). The net 
worth of a natural person ma> include assets held Jointiv with 
that person's spouse. 

(d) The compensation paid to the investment adviser with 
respect to the performance of an\ securities over a given 
period must be based on a formula with the following 
characteristics: 

(1) In the case of securities for which market 
quotations are readily available within the meaning 
of Rule 2a-4(a)( I ) under the Investment Compan> 
Act of 1940. (Definition of "Current Net Asset 
Value" for Use in Computing PeriodicalK the 
Current Price of Redeemable Securitv), 17 C.F.R. 
270.2a-4(a)(l ). the fomiula must include the 
realized capital losses and unrealized capital 
depreciation of the securities over the period; 

(2) In the case of securities for which market 
quotations are not readiK available within the 
meaning of Rule 2a-4(a)(l) under the Investment 
Company Act of 1940. 17 C.F.R. 270.2a-4(a)( I ). 
the formula must include: 

(A) the realized capital losses of securities over 
the period; and 

(B) if the unrealized capital appreciation of the 
securities over the period is included, the 
unrealized capital depreciation of the 
securities over the period; and 

(3) The formula must provide that an\ compensation 
paid to the in\estment adviser under this Rule is 
based on the gains less the losses (computed in 
accordance v\ith Subparagraphs ( 1 ) and (2) of this 
Paragraph) in the client's account for a period of not 
less than one year. 

(e) Before entering into the advisory contract and in 
addition to the requirements of Form ADV. the investment 
adviser must disclose in writing to the client or the client's 
independent agent all material information concerning the 
proposed adv isory arrangement, including the follow ing: 

( 1 ) That the fee arrangement ma\ create an incentis e 
for the investment adviser to make investments that 
are riskier or more speculative than would be the 
case in the absence of a performance fee; 

(2) Where relevant, that the investment adviser mav 
receive increased compensation v\ith regard to 
unrealized appreciation as v\ell as realized gains in 
the client's account; 

(3) The periods which will be used to measure 
investment performance throughout the contract 
and their significance in the computation of the fee; 

(4) The nature of an_\ index which vsill be used as a 
comparative measure of investment performance, 
the significance of the index, and the reason the 
investment adviser believes that the index is 
appropriate; and 

(5) Where the investment adviser's compensation is 
based in part on the unrealized appreciation of 



securities for which market quotations are not 
readilv available within the meaning of Rule 
2a-4(a)( 1 ) under the Investment Company Act of 
1940. 17 C.F.R. 270.2a-4(a)( I ). how the securities 
will be valued and the extent to which the valuation 
will be independently determined. 

(f) The investment adviser (and any investment adviser 
representative) who enters into the contract must reasonabK 
believe, immediatelv before entering into the contract, that the 
contract represents an arm's length arrangement between the 
parties and that the client (or in the case of a client which is a 
companv as defined in Subparagraph (a)(3) of this Rule, the 
person representing the companv ). alone or together w ith the 
client's independent agent, understands the proposed method 
of compensation and its risks. The representative of a 
companv ma\ be a partner, director, officer or an emplo> ee of 
the companv or the trustee, w here the companv is a trust, or 
an\ other person designated b_v the companv or trustee, but 
must satisfy the definition of client's independent agent set 
forth in Subparagraph (a)(2) of this Rule. 

(g) .'Xnv person entering into or performing an investment 
advisory contract under this Rule is not relieved of anv 
obligations under Section 78C-8(a) or anv other applicable 
provision of the .Act or anv rule or order thereunder. 

(h) Nothing in this Rule shall relieve a client's independent 
agent from an\ obligation to the client under applicable law. 

History Note: Filed as u Temporary Rule Eff. January 2. 
1 989. for a period of 180 days to expire on June 30. 1 989; 
Autllorit^■ G.S. ''8C-8lh): -'8C-8lc)iii: ^8C-8(fi: ~8C-30(a): 
Eft: February 1 . 1989: 

Temporaiy Amendment Eff October 1. 199~: 
Amended' Eff Ausust f 1998. 



.1811 



FORMS 



History Note: Filed as a Temporaiy Rule Eff. Januaiy 2. 

1989. for a period of 180 days to expire on June 30. 1989: 

.Authority- G.S. ^8C-30(a): '8C-30(b): 

Eff. Februaiy 1. 1989: 

Amended Eff September 1. 1990: 

Temporaiy Amendment Eff October 1. 199': 

Repealed Eff. Aui:ust I. 1998. 



TITLE 21 - OCCUPATIONAL LICENSING BOARDS 

CHAPTER 2 - BOARD OF ARCHITECTURE 
SECTION .0200 - PRACTICE OF ARCHITECTURE 

.0213 INDIMDUAL LICENSES 

(a) Renewal. Licenses must be renewed on or before the 
first dav of .lul\ in each vear. No less than 30 davs prior to the 
renewal date, a renewal application shall be mailed to each 
indiv idual licensee. The licensee shall complete the curtent 
license renewal form adopted bv the Board, including 
continuing education credit earned. The completed form for 



124 



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13:1 



APPROVED RULES 



license renewal, along with the annual license renewal fee 
shall be forwarded to the Board, if the application form is 
incomplete or the annual renewal fee is not paid, the 
application for renewal shall not be accepted. Also, if the 
accompan\ ing draft or check in the amount of the renewal fee 
is dishonored h\ the architect's drawee bank for an>' reason, 
the annual license renewal shall be deemed to be not renewed. 
Once the annual renewal has been completed according to the 
provisions of G.S. 83A-1 1. as well as Section .0900 of these 
Rules, the Executive Director shall issue to the licensee a 
current license for the ensuing _\ ear. 

(b) Late Renewal and Reinstatement. If the Board has not 
received the annual renewal fee and completed application on 
or before August 1st. the license shall be deemed 
automaticalK revoked. The license ma_\ be renewed at an> 
time within one \ear following August 1st. upon the return of 
the completed application, the annual renewal fee and the late 
renewal penalr\ and compliance with Section .0900 of these 
Rules. After one >ear from the date of revocation for 
non-payment of the annual renewal fee. reinstatement shall 
occuraccording to the directives of G.S. 83 A- 1 1 and Section 
.0900 of these Rules. 

Hisroiy Xote: Authorin G.S. 83.4-6: '^3.4-11: 

Eff. Fehnian- 1. 19~6: 

Readopled Eff. September 29. 19": 

.4 mended Eff July 1. 1999: .Mm- 1. 1989: Sovember 1. 19^9. 

SECTION .0900 - CONTINUING EDUCATION 

.0901 SCOPE 

(a) The rules in this Section set forth the continuing 
education requirements to be earned b\ registrants in calendar 
\ear 1999 and reported for renewal b\ .lul> I. 2000. 

(b) These Rules shall appK to even, active registrant except 
those excepted b\ Rule .0906 of this Section. 

Hisroiy Sole: .4iilhorin- G.S. 83.4-6ia)l4l: 83.4-6(a)<5i: 

83.4-11: 

Eff. July 1. 1998. 

.0902 DEFINITIONS 

The follow ing definition shall appl\ : "Contact Hour" means 
a minimum of 50 minutes contact. 

HLsioij Sole: .4iiihonn- G.S. 83.4-6(a)l4/: 83.4-6(at(5): 

83.4-11: 

Eff July 1. 1998. 

.0903 REQUIREMENTS 

(a) E\en. registrant shall obtain 12 contact hours for each 
calendar) ear. 

(b) The contact hours shall be in technical and professional 
architectural subjects directK related to safeguarding health, 
safety and welfare. 

(c) Registrants shall not carrv forward an\ contact hours 
into the subsequent period. 

(d) Registrants shall verif\ completion of the contact hours 



for the previous calendar _\'ear with registration renewal. 

History Note: Aiithorit}- G.S. 83A-6(aj(4): 83.4-6(a)(5): 

83.4-il: 

Eff July 1. 1998. 

.0904 DETERMINATION OF CREDIT 

(a) The Board has final authoritv with respect to approval 
of course sponsors, courses, programs, and contact hours. 

(b) The Board shall not preappro\e individual courses or 
programs. The Board ma\ enter into agreements with course 
and program sponsors in which the sponsor agrees to offer 
courses and programs that comply with the subject matter 
requirements of G.S. 83A-6(a) and the credit calculation 
requirements of Rule .0902 of this Section, agrees to maintain 
for a period of two Nears records of course content and 
attendance, and agrees to permit a representative of the Board 
to monitor or re\ lew an\ course or program the sponsor offers 
to North Carolina registrants for credit. Courses or programs 
offered and approved by the American Institute of Architects 
and other appro\ ed course sponsors shall indicate, in advance, 
the contact hours for each course or program. Pro\ ided the 
sponsor complies w ith the sponsor agreement, the Board shall 
accept as presumptiveK \alid contact hours earned by 
registrants from approved sponsors. 

(c) Credit for the Architect Development Verification 
Program of the National Council of Architectural Registration 
Boards (NC ARB) shall be approved for the contact hours 
assigned by NCARB. 

(d) Credit forteaching or instructing qualifying courses or 
programs shall be twice the contact hours earned by 
participants and shall be claimed for credit only once. 

(e) Registrants may claim contact hours for courses or 
programs that ha\ e not been presented b\ approved sponsors 
but onl\ credit from approved sponsors shall be presumptively 
valid. The Board ma\ randomK audit the compliance of 
individual registrants and require proof in the form of records 
maintained pursuant to Rule .0905(b) of this Seciton of 
participation in courses or programs that conform with the 
content and contact hours calculation requirements contained 
in G.S, 83A-6(a) and these Rules. 

History Xote: Authorir\- G.S. 83.4-6iai(4i: 83A-6(al(5i: 

83A-11: 

Eff. July 1. 1998. 

.0905 RECORD KEEPING 

(a) The registrant shall maintain records to support credits 
claimed. Records required include: 

(1) A log showing the t\pe of activitv claimed, 
sponsoring organization, location, duration, the 
name of the instructor or speaker and contact hours 
earned; or 

(2) Attendance certificates or other evidence of 
participation: or 

(3) Records maintained b\ the .American Institute of 
Architects Continuing Education 
SvstemiAIA CES). 



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125 



APPROVED RULES 



(b) Records shall be retained b\ the registrant for a period 
of two >ears after the credit is claimed and provided to the 
Board upon request. 



History Note: 
83.4- il : 
Eff.Juh I. 1998. 



Authority- G.S. 83A-6la)l4): 83A-6(u/l5): 



.0906 EXCEPTIONS 

A registrant shall be exempt from the continuing education 
requirements for an\ of the following reasons: 

( 1 ) New registrants b> wa} of examination or 
reciprocit\ for the current registration \ear. 

(2) A registrant sersing on temporary.' active dur\ in the 
armed forces of the United States for a period of 
time exceeding 90 consecuti\ e da> s in a \ ear. 

(3) Registrants experiencing ph>sical disabilir\ or 
illness if supporting documentation is approved b> 
the Board. Such documentation shall he in the form 
of a sworn statement b\ the registrant, a statement 
from a ph\sician. or medical records which show 
that the disabilit> or illness prevented registrant's 
participation in a course which the registrant had 
enrolled, or prevented registrant's participation in 
the continuing education program for at least 90 
consecutiv e dav s in a v ear. 

(4) Registrants who receive emeritus status from the 
Board. In order to return to active practice, 
registrants shall complete continuing education 
requirements for each exempted > ear not to exceed 
two vears. 

HIston- Xote: Authorm- G.S. 83A-6lall4i: 83A-6la)(5l: 

83A-il: 

Eft: July 1. 1998. 

.0907 REINSTATEMENT 

A former registrant ma\ onlv appiv for reinstatement 
pursuant to G.S. 83.A-1 1 if he has earned all delinquent 
contact hours within the 12 months preceding the application. 
However, if the total number of contact hours required to 
become current exceeds 24. then 24 shall be the maximum 
number required. 

History Sole: Aiithoriiy G.S. 83.A-6iuil4i: 83.A-6la)l5i: 

83.4-11: 

Eff.Juh 1. 1998. 

.0908 RECIPROCITY 

The requirements of North Carolina shall be deemed 
satisfied hv a non-resident registrant prov ided: 

( 1 ) Registrant's resident jurisdiction has a comparable 
continuing education program: and 

(2) The same Jurisdiction accepts the North Carolina 
continuing education requirements as satisl^ing 
their requirements. 

History Xote: Authority G.S. 83A-6(a)i4i: 83.4-6(ai(5i: 



83.4-11: 
Eff.Jidy 1. 1998. 

.0909 FORMS 

.All renewal applications shall require the completion of a 
continuing education form specified bv the Board 
documenting the contact hours claimed for the renew al period. 
The registrant shall suppiv sufficient detail to permit audit 
verification and shall certify and sign the continuing education 
form w ith the renewal application and fee. 

History Xote: .4uthoriry G.S. 83.4-6la)l4i: 83.4-6lal(5l: 

83.4-11: 

Eft: July 1. 1998. 

.0910 NON-COMPLIANCE 

(a) If an\ credits are disallowed bv the Board, then the 
registrant shall have 90 calendar da\s after notification to 
substantiate the original claim or obtain other contact hours to 
meet the minimum requirements. 

(b) Failure to complv w ith the requirements of this Section 
shall result in non-renewal of registration with the following 
exceptions: 

(1) .After the first vear of implementation of these 
requirements, the registrant shall be renev\ed and 
assessed a two hundred fift> dollars (S250.00) civil 
penalty. Said civil penalty shall be staved and shall 
be dismissed if the required contact hours are 
earned prior to the next renewal. 

(2) After the second vear of implementation of these 
requirements, the regisiiant shall pav the civil 
penalrv of two hundred flftv dollars (S250.00). 

Histoiy Xote: Authority G.S. 83A-6iu)l4i: 83A-6tu/t5): 
83.4-11: 83.4-15: 
Ell July 1. 1998. 

CHAPTER 8 - BOARD OF CERTIFIED PUBLIC 
.ACCOUNTANT EXAMINERS 

SUBCHAPTER 8A - DEPARTMENTAL RULES 

SECTION .0300 - DEFINITIONS 

.0301 DEFINITIONS 

(a) The definitions set out in G.S. 93-I(a) shall applv v\hen 
those defined terms are used in 2 1 NC.AC 8. 

(b) In addition to the definitions set out in G.S. 93-l(a). the 
following definitions and other definitions in this Section 
applv when these temis are used in 21 NC.AC 8: 

(1) ".Active." when used to refer to the status of a 
person, describes a person who possesses a North 
Carolina certificate of qualification and v\ho has not 
otherv\ise been granted "Retired," "Inactive." or 
"Conditional" status: 

(2) ".Agreed upon procedure" means a client has 
engaged a CPA to issue a report of findings based 
on specific procedures perfonned on specific 



126 



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13:1 



APPROVED RULES 



(7) 
(8) 
(9) 

(10) 

(11) 
(12) 

(13) 



(B) 
(C) 



(D) 



subject matter of specified elements, accounts, or 
accounting information that is part of but 
significantly less than a financial statement; 

(3) "AICPA" means the American Institute of Certified 

Public Accountants: (18) 

(4) "Applicant" means a person who has applied to take 
the CPA examination; 

(5) "Attest service" means: (19) 
(A) any audit. 

any review of a financial statement, 

any compilation of a financial statement 

when the CPA expects, or reasonabK might 

expect, that a third partv v\ill use the 

compilation and the CPA does not disclose a 

lack of independence, and 

an) examination of prospective financial 

information; 

(6) "Audit" means an examination of financial 
statements of a person b\ a CPA. conducted in (20) 
accordance with generalK' accepted auditing 
standards, to determine whether, in the CPA's (21) 
opinion, the statements conform with generalK 
accepted accounting principles or. if applicable, 

with another comprehensive basis of accounting: 

"Board" means the North Carolina State Board of (22) 

Certified Public Accountant Examiners; 

"Calendar \ear" means the 12 months beginning 

January 1 and ending December, 31: 

"Candidate" means a person whose application to 

take the CPA examination has been accepted and 

who may sit for the CPA examination: 

"Client" means one who orally or in writing agrees 

with a person or firm holding out pursuant to 21 

NCAC 8A .0308 to receive an\ services included in 

21 NCAC 8A .0307; 

"Commission" means compensation, except a 

referral fee. for recommending or referring an\ 

product or serv ice to be supplied b\ another person: 

"Compilation of a financial statement" means 

presenting in the form of a financial statement 

information that is the representation of any other 

person without the CPA's undertaking to express 

any assurance on the statement: 

"Conditional." when used to refer to the status of a (25) 

person, describes a person who holds a North (26) 

Carolina certificate of qualification under certain 

conditions as imposed b\ the Board, such as (27) 

additional requirements for failure to complete the 

required CPE hours in a calendar year; 

(14) "Contingent fee" means a fee established for the (28) 
perfomiance of an\ service pursuant to an 
arrangement in which no fee w ill be charged unless (29) 
a specified finding or result is attained, or in which 

the amount of the fee is otherwise dependent upon (30) 

the finding or result of such ser\ice; 

(15) "CPA" means certified public accountant: (31) 

( 16) "CPE" means continuing professional education: 

(17) "Disciplinary action" means revocation or 



(23) 
(24) 



suspension of. or refusal to grant, membership, or 
the imposition of a reprimand, probation, 
constructive comment, or any other penalty or 
condition: 

"Disclosure" means a written statement of the 
service to be rendered with the contingent fee to be 
charged and which is dated and signed b\ the client; 
"Examination of prospective financial information" 
means an evaluation bv a CPA of: 

(A) a forecast or projection, 

(B) the support underlying the assumptions in 
the forecast or projection, 

(C) whether the presentation of the forecast or 
projection is in conformity with AICPA 
presentation guidelines, and 

(D) whether the assumptions in the forecast or 
projection provide a reasonable basis for the 
forecast or projection: 

"FASB" means the Financial Accounting Standards 

Board; 

"Firm" means an individual proprietor, a 

partnership, a professional corporation, a 

professional limited liability companv, or a 

registered limited liability partnership: 

"Forecast" means prospective financial statements 

that present, to the best of the responsible party 's 

know ledge and belief an entity's expected financial 

position, results of operations, and changes in 

financial position or cash flows that are based on 

the respc .sible party's assumptions reflecting 

conditions it expects to exist and the course of 

action it expects to take; 

"GASB" means the Governmental Accounting 

Standards Board: 

"Inactive." when used to refer to the status of a 

person, describes one who has requested inactive 

status and been approved by the Board and who 

does not use the title "certified public accountant" 

nor does he or she allow anyone to refer to him or 

her as a "certified public accountant." and neither 

he or she nor anvone else refers to him or her in any 

representation as described in 21 NCAC 8A 

.0308(b). 

"IRS" means the Internal Revenue Service: 

"License vear" means the 12 months beginning .luly 

i and ending June 30: 

"Member of a firm" nuans anv CPA who has an 

ownership interest in a i^ PA flmi including owners, 

partners and shareholders; 

"NASBA" means the National Association of State 

Boards of Accountancy : 

"NCACPA" means the North Carolina Association 

of Certified Public Accountants; 

"North Carolina office" means anv office phvsicalK' 

located in North Carolina; 

"Participating finn" means a firm participating in 

the SQR program. It does not include fimis exempt 

bv reason of 21 NCAC 8M .0102(a) or deemed in 



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127 



APPROVED RULES 



compliance pursuant to 2 1 NC AC 8M .0 1 04; 

(32) "Person" means an> natural person, corporation. 
partnership, professional limited liabilit\ company, 
registered limited liabiiit} partnership, 
unincorporated association, or other entit\ : 

(33) "Projection" means prospective financial statements 
that present, to the best of the responsible party's 
knowledge and belief given one or more 
h\pothetical assumptions, an entity's expected 
fmancial position, results of operations, and 
changes in financial position or cash flows that are 
based on the responsible party's assumptions 
reflecting conditions it expects would exist and the 
course of action it expects would be taken given 
such h\pothetical assumptions: 

(34) "Referral fee" means compensation for 
recommending or referring any service of a CPA to 
an\ person; 

(35) "Retired." when used to refer to the status of a 
person, describes one possessing a North Carolina 
certificate of qualification who verifies to the Board 
that the applicant does not receive or intend to 
recei\e in the future an\ earned compensation for 
current personal services in an\ job whatsoe\er and 
will not return to active status. Howe\er. retired 
status does not preclude volunteer services for 
which the retired CPA receives no direct nor 
indirect compensation so long as the retired CPA 
does not sign any documents, related to such 
serv ices, as a CPA; 

(36) "Revenue Department" means the North Carolina 
Department of Revenue; 

(37) "Review" means to perfomi an inquir> and 
anaKtical procedures that permit a CPA to 
determine whether there is a reasonable basis for 
expressing limited assurance that there are no 
material modifications that should be made to 
financial statements in order for them to be in 
conformitv with generalK accepted accounting 
principles or. if applicable, with another 
comprehensive basis of accounting; 

(38) "SQR Advisory Committee" means the State 
Quality Rev lew Advisory Committee to the Board; 

(3Q) "SQR Program" means the State Quality Review 
Program of the North Carolina State Board of 
Certified Public Accountant Examiners; 

(40) "SQR Review team" means that team of CPAs 
which rev lews a firm pursuant to the requirements 
of Subchapter 8M. A review team ma\ be 
comprised of one or more members; 

(4 1 ) "SQR Review team captain" means that member of 
a review team who is responsible for the review and 
superv ises the other members of the team; 

(42) "SQR Reviewer" means a member of a reviev\ team 
including the rev lew team captain. 

(43) "Suspension" means a revocation for a specified 
period of time. A CP.'\ mav be reinstated after a 
specific period of time if the CPA has met all 



conditions imposed by the Board at the time of 
suspension; and 
(44) "Trade name" means a name used to designate a 
business enterprise. 

Histoiy Note: Authorin- G.S. 93-1: 93-1 2(8c): 

Eff. Fehntaiy 1. 19-6: 

Reudopied Eff. September 26. 19^7; 

Amended Eff Aiisiist £, 1998: Februurv I. 1996: April I. 

1994: September 1. 1992. 

.0309 CONCENTRATION IN ACCOUNTING 

(a) A concentration in accounting shall include: 

(1) at least 30 semester hours, or the equivalent in 
quarter hours, of undergraduate accountancv' 
courses which shall include no more than six 
semester hours of accounting principles and no 
more than three semester hours of business law: or 

(2) at least 20 semester hours or the equivalent in 
quarter hours, of graduate accounting courses that 
are open exclusiveh to graduate students: or 

(3) a combination of undergraduate and graduate 
courses which would be equivalent to Subparagraph 
(Dor (2). 

(b) In recognition of differences in the level of graduate 
and undergraduate courses, one semester (or quarter) hour of 
graduate studv in accounting shall be considered the 
equivalent of one and one-half semester (or quarter) hours of 
undergraduate studv in accounting. 

(c) Up to four semester hours, or the equivalent in quarter 
hours, of graduate income tax courses completed in law 
schools mav count toward the semester hour requirement of 
Paragraph (a) of this Rule. 

(d) Where, in the Board's discretion, an accounting course 
duplicates another course prev iouslv taken, onlv the semester 
(or quarter) hours of one of the courses shall be counted in 
detemiining if the applicant has a concentration in accounting. 

(e) Accounting courses include such courses as principles 
courses at the elementan . intermediate and adv anced lev els: 
managerial accounting; business law; cost accounting; fund 
accounting: auditing: and taxation. There are manv college 
courses offered that would be helpful in the practice of 
accountancv, but are not included in the definition of a 
concentration in accounting. Such courses include business 
finance, business management, computer science, economics, 
writing skills, accounting internships, and C?A exam rev lew. 

(f) A candidate who has conditional credit prior to Januarv 
1 . 200 1 . mav continue to applv to sit for the examination as 
long as the conditional credit is valid. A candidate who no 
longer has v alid conditional credit after .lanuary 1 . 200 1 . shall 
be required to meet all education requirements in effect at the 
time of the candidates's subsequent application. 

History Sote: Autliority G.S. 93-1 2i 5): 

Eff. Mux I. 1989: 

Amended Eff. Jumiarv L 2001 : April 1. 1 994. 

SUBCHAPTER 8F - REQL IREMENTS FOR 



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CERTIFIED PUBLIC ACCOUNTANT 
EXAMINATION AND CERTIFICATE APPLICANTS 

SECTION .0100 - GENERAL PROVISIONS 

.0103 FILING OF EXAMINATION APPLICATIONS 
AND FEES 

(a) All applications for CPA examinations shall be filed 
with the Board, accompanied by the examination fee. The 
Board sets the fee for each examination at the amount that 
enables the Board to recover its costs in administering the 
examination. If a check or credit card authorization fails to 
clear the bank, the application shall be deemed incomplete and 
returned. 

(b) Completed initial applications shall be postmarked w ith 
proper postage not later than the last da\ of .lanuar> for the 
spring examination and not later than the last day of July for 
the fall examination. Completed re-exam applications shall be 
postmarked with proper postage not later than the last day of 
Februan, for the spring examination and not later than the last 
day of August for the fall examination. If one of those dates 
falls on a weekend or federal holidas. the application shall be 
postmarked or received in the Board office on the next 
business da\ . Onl\ a Li.S. Postal Ser\ ice cancellation shall be 
considered as the postmark. If an application is sent to the 
Board office via a private delivery service, the date the 
package is received b\ the deliverv service shall be considered 
as the postmark. 

(c) The initial application filed to take the examination shall 
include supporting documentation demonstrating that all legal 
requirements have been met. such as: 

( 1 ) minimum legal age; 

(2) education: 

(3) experience, if required in order to qualify for the 
examination; and 

(4) good moral character: 

(5) Any person bom outside the United States shall 
furnish to the Board office evidence of citizenship: 
evidence of resident alien status; or 

(A) other bona fide ev idence that the applicant is 
legal In allowed to remain in the United 
States for the purposes of becoming a U.S. 
citizen, or 

(B) a notarized affidavit of intention to become 
a U.S. citizen, or 

(C) evidence that the applicant is a citizen of a 
foreign jurisdiction which extends to citizens 
of this state like or similar pri\ ileges to be 
examined. 

(d) Official transcripts (originals - not photocopies) signed 
by the college registrar and bearing the college seal are 
required to prove education and degree requirements. A letter 
from the college registrar of the school mav be filed as 
documentation that the applicant has met the graduation 
requirements if the degree has not been awarded and posted to 
the transcript. Hov\ever. no examination grades shall be 
released until an official transcript is tiled confirming the 
information supplied in the college registrar's letter. All 



applicants submitting transcripts from foreign schools for 
consideration of degree and of meeting accountancy course 
requirements shall have had the transcript(s) evaluated by 
Foreign Academic Credential Service, Inc. (FACS) or a 
comparable educational evaluation service. Applicants shall 
determine that their transcripts contain all information 
required by these Rules. 

(e) If experience is required to qualify for examination, 
affidavits shall be prepared and signed bv employers on fornis 
supplied by the Board. 

(f) In order to document good moral character as required 
b> Subparagraph (c)(4) of this Rule, three certificates of good 
moral character signed bv persons not related bv blood or 
marriage to the applicant shall accompany the application. 

(g) All applications for re-examination shall be 
accompanied bv three new certificates of moral character. No 
additional statements and affidavits regarding experience and 
education shall be required for applications for 
re-examination. 

(h) An applicant shall include as part of anv application for 
the CP.A examination a statement of explanation and a 
certitled copv of court records if the applicant has been 
convicted or found guilty of or pleaded nolo contendere to any 
felonv. or to any other criminal offense of which an essential 
element is: 

( 1 ) dishonestv. deceit, or fraud: 

(2) violation of a federal or state tax law; or 

(3) commission of anv act or conduct discreditable to 
the accountancv profession in violation of the Rules 
of Professional Ethics and Conduct f . Certified 
Public Accountants, unless such information has 
been furnished in a previous application tiled w ith 
the Board. 

(i) If an applicant has been denied any license by any state 
or federal agencv'. the applicant shall include as part of the 
application for the CPA examination a statement explaining 
such denial. An applicant shall include a statement of 
explanation and a certified cop\ of applicable license records 
if the applicant has been registered v\ith or licensed bv a state 
or federal agencv and has been disciplined bv that agencv . 

(i) Tv\o recent identical photographs shall accompanv the 
application for the CPA examination. These photographs 
shall have been taken within the last six months. The 
photographs shall be of the applicant alone. 2x2 inches in 
size, w ith an image size from the bottom of the chin to the top 
of the head, including hair, of between 1 and 1-3/8 inches. 
Photographs shall be clear, front view, full face, taken in 
nomial street attire w ithout a hat or dark glasses, and printed 
on thin paper with a plain light background. They shall be 
capable of withstanding a mounting temperature of 225 
degrees Fahrenheit (107 degrees Celsius). Thev mav be in 
black and w hite or in color. Snapshots, most vendin^^ -:nachine 
prints, and magazine or full-length photographs are 
unacceptable. Photographs retouched so that the applicant's 
appearance is changed are unacceptable. .Applicants shall 
write their names on the back of their photos. 

(k) If an applican^^ name has legallv changed and is 
different from the name on an\ transcript or other document 



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supplied to the Board, the appHcant shall furnish copies of the 
documents legalK authorizing the name change. 

Histon- \ote: Auihoiin- G.S. 93-12/3): 93-1214): 93-12(5): 

Eff. February 1 . 19' 6: 

Readopted Eff. September 26. 19~ ~: 

.Amended Eff. .August L 199S: Februaiy 1. 1996: .April 1. 

1994: .March 1. 1990. 

SECTION .0300 - EDLCATION REQUIREMENTS 
FOR EXAMINATION 

.0302 EDLCATION AND WORK E.XPERIENCE 
REQUIRED PRIOR TO CPA EXAM 

(a) Under G.S. 93-12(5) there are r^\o uaNS an applicant for 
the CPA examination can demonstrate the possession of 
sufficient education to become a CPA: 

( 1 ) the possession of a bachelor's degree in an\ subject, 
from a regional]} accredited college or uni\ersit> . 
that either includes or is supplemented b\ a 
concentration in accounting as defined in 21 NCAC 
8A .0309; and 

(2) compliance uith the requirements set forth in 21 
NCAC 8F .0304. which pro\ides for special 
examinations in lieu of fomial education. 

(b) .Applicants %sho intend to demonstrate their possession 
of sufficient education to become a CP.A b> show ing that the_\ 
possess a bachelor's degree shall submit official transcripts 
w ith their application to take the CP.A examination. Official 
transcripts shall show the grades the applicant recei\ed on 
courses completed and shall also show degrees awarded. .An 
official transcript bears the seal of the school and the signature 
of the registrar or assistant registrar. 

(c) With regard to Paragraph (aH 1 ) of this Rule, the Board 
ma\ appro\e an application to take the CP.A examination prior 
to the receipt of a bachelor's degree, if: 

(1) the concentration in accounting which shall be 
included in or supplement the bachelor's degree is 
alread\ complete or is reasonabK expected to be 
completed b_\ the end of the school term within 
which the examination falls; and 

(,2) an applicant reasonabK expects to recei\e the 
bachelor's degree within 120 da\s after the last da\ 
of the examination. Ho\ve\er. if the applicant fails 
to recei\ e the degree w ithin the specified time, the 
CP.A examination grades shall not be released and 
if the applicant wishes to retake the examination, 
the applicant shall reappK . 

(d) W ith regard to Paragraph (a)(2) of this Rule, the 
applicant shall complete the work experience that is required 
b\ all candidates for certification, and set forth in 21 NCAC 
8F .0401. prior to the date the applicant applies for the CPA 
examination. 

Hi.ston- .Xore: .Auihorit}- G.S. 93-12(3): 93-12(5): 

Eff. Februaiy 1 . 19' 6: 

Readopted Eff. September 26. 19' ~: 

.Amended Eff .August 1. 1998: .April 1. 1994: May 1. 1989: 



September 1. 1988. 

SUBCHAPTER 8G - CONTINUING PROFESSIONAL 
EDUCATION (CPE) 

SECTION .0400 - CPE REQUIREMENTS 

.0404 REQUIREMENTS FOR CPE CREDIT 

(a) .A CP.A shall not be granted CPE credit for a course 
unless the course: 

( 1 ) is in one of the six fields of stud> recognized b> the 
Board and set forth in Paragraph (b) of this Rule: 

(2) is actualK de\ eloped b\ an indi\idual who has 
education and work experience in the subject matter 
of the course; and 

(3) uses instructional techniques and materials that are 
current and accurate. 

(b) The six fields of stud\ recognized b\ the Board are 
based on the subject areas that are set forth in the AlCPA 
National CPE Curriculum. The six fields are accounting and 
auditing, consulting ser\ices. management, personal 
de\elopment. specialized knowledge and applications, and 
taxation. 

( 1 ) The accounting and auditing field of stud\ includes 
accounting and financial reporting subjects, the 
bod\ of knowledge dealing with recent 
pronouncements of authoritati\e accounting 
principles issued b\ the standard-setting bodies, and 
an\ other related subject generalK classified within 
the accounting discipline. It also includes auditing 
subjects related to the examination of financial 
statements, operations s\ stems, and programs; the 
re\ lew of internal and management controls; and 
the reporting on the results of audit findings, 
compilation, and re\iew. 

(2) The consulting sen. ices field of stud\ deals with all 
consulting ser\ices pro\ided b\ professional 
accountants-management, business, personal, and 
other. It includes management consulting ser\ ices 
and personal financial planning sen. ices. This field 
also co\ ers an organization's \arious sNstems. the 
services pro\ ided b> consultant practitioners, and 
the engagement management techniques that are 
t}picall\ used. An organization's s\ stems include 
those dealing with planning, organizing, and 
controlling an_\ phase of individual financial 
activit>- and business activit>'. Ser\ ices provided 
encompass those for management, such as 
designing, implementing, and evaluating operating 
SN'Stems for organizations, as well as business 
consulting ser\ ices and personal financial planning. 

(3) The management field of stud_\ considers the 
management needs of individuals primariK in 
public practice. industr>. and government. Some 
subjects concentrate on the practice management 
area of the public practitioner, such as 
organizational structures, marketing services. 
human resource manaaement. and administrative 



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practices. For individuals in industr>\ tliere are 
subjects dealing witli tlie financial management of 
the organization, including information systems, 
budgeting, and asset management, as well as items 
covering management planning, buying and selling 
businesses, contracting for goods and services, and 
foreign operations. For CPAs in government, this 
curriculum embraces budgeting, cost anaKsis. 
human resource management, and financial 
management in state and local governmental 
entities. In general, the emphasis in this field is on 
the specific management needs of CPAs and not on 
general management skills. 

(4) The personal development field of study includes 
becoming a competent people manager, which 
covers such skills as communications, managing the 
group process, and dealing effectively with others 
in interviewing, counseling, and career planning. 
Public relations and professional ethics are also 
treated. 

(5) The specialized know ledge and applications field of 
study treats subjects related to specialized 
industries, such as not-for-profit organizations, 
health care, and oil and gas. An industn. is defined 
as specialized if it has unusual: 

(A) forms of organization; 

(B) economic structure; 

(C) sources of financing; 

(D) statutory or regulator,' requirements; 

(E) marketing or distribution; 

(F) terminolog>'; 

(G) technology; 

(H) accounting principles and practices; 

(I) tax problems; 

(J) consulting services required; or 
(K) audit issues. 

(6) The ta.xation field of stud\ includes subjects dealing 
with tax compliance and tax planning. Compliance 
covers tax return preparation and review and IRS 
examinations, ruling requests, and protests. Tax 
planning focuses on appKing tax rules to 
prospective transactions and understanding the tax 
implications of unusual or complex transactions. 
Recognizing alternative tax treatments and advising 
the client on tax saving opportunities are also part 
of tax planning. 

(c) In addition to courses sponsored by approved sponsors, 
the following ma> qualify as acceptable t\pes of continuing 
education programs, provided the programs compK w ith the 
requirements set forth in Paragraph (a) of this Rule: 

( 1 ) professional development programs of national and 
state accounting organizations; 

(2) technical sessions at meetings of national and state 
accounting organizations and their chapters; 

(3) courses taken at regional 1\ accredited colleges and 
universities; 

(4) educational programs that are designed and 
intended for continuing professional education 



activity conducted within an association of 
accounting firms; and 
(5) correspondence courses that are designed and 
intended for continuing professional education 
activity. A CPA may claim credit for a course 
offered by a non-approved sponsor provided that 
the course meets the requirements of 2 1 NCAC 8G 
.0403(d). .0404. and .0409. The CPA shall 
maintain documentation proving that the course met 
these standards. 

(d) Notwithstanding Paragraph (a) of this Rule. CPE credit 
ma\ be granted for teaching a CPE course or authoring a 
publication as long as the preparation to teach or write 
increased the CPA's professional competency and was in one 
of the six fields of study recognized by the Board and set forth 
in Paragraph (b) of this Rule. 

(e) CPE credit shall not be granted for a self-study course 
if the material that the CPA must study to take the examination 
is not designed for CPE purposes. This includes periodicals, 
guides, magazines, subscription services, books, reference 
manuals and supplements which contain an examination to test 
the comprehension of the material read. 

History Note: Authority G.S. 93-12(8h): 

Eff. May 1. 1981: 

Amended Eff. Aiisiist I. 1998: February 1. 1996: March I. 

1990: May I. 1989. 

SUBCHAPTER 8H - RECIPROCITY 

.0001 RECIPROCAL CERTIFICATES 

(a) Persons who meet the requirements of G.S. 93-12(6) 
may apply to the Board for a reciprocal certificate. 

(b) The fee for a reciprocal certificate shall be the 
maximum amount allovsed b> statute. 

(c) An applicant for a reciprocal certificate shall meet all of 
the curtent requirements imposed on an applicant under G.S. 
93-12(5) or the following requirements, vhich the Board 
considers to be substantial!) equivalent to those requirements: 

(1 ) The applicant has the unrestricted privilege to use 
the CPA title and to practice public accountancy in 
an> state or territory of the United States, or the 
District of Columbia. 

(2) The applicant: 

(A) within ten years immediately preceding the 
filing date of the application, has had four 
years of experience in the field of accounting 
under the direct supervision of a CPA who 
held a valid license during the period of 
supervision in an\ state or territon, of the 
United States or the District of Columbia: or 

(B) has ten years of experience in the field of 
accounting, or ten years of experience 
teaching accounting as defined and 
calculated in 21 NCAC 8F .0409. or an> 
combination of such experience earned 
v\ithin the 12 years immediately preceding 
the filing date of the application. 



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(3 ) The applicant recei\ed a score of at least 75 on each 
part of the Uniform CPA Examination. 

(4) During the two \ears preceding the applicant's 
filing date for a reciprocal certificate, the applicant 
has completed 80 hours of CPE in courses meeting 
the requirements of 21 NCAC 8G .0401(a). 
Houe\er. applicants who received their initial CPA 
license within four \ears from the tiling date of 
their application for a reciprocal certificate are 
exempt from this CPE requirement. 

(d) An applicant for change in status, reissuance, or 
reinstatement of a reciprocal certificate that was inactive, 
forfeited, or retired more than 10 \ears before the date of 
reapplication. shall comph with all current requirements for 
a reciprocal certificate. 

History Xoie: Aiiihorin- G.S. 93-12(6): 93'12('a): 

Eff. Febniaiy 1 . 19' 6: 

Readopted Eff. September 26. 19"; 

Amended Eff August 1. 1998: September I. 1992: .March 1. 

1990: .May 1. 1989. 

SUBCHAPTER 8J - RENEWALS AND 
REGISTRATIONS 

.0005 RETIRED AND INACTIVE STATUS: 
CHANGE OF STATUS 

(al .\ CP.A ma> appl_\ to the Board for change of status to 
retired status or inactive status provided the CP.A meets the 
description of the appropriate status as defined in 21 NCAC 
8A .0301 . Application for an_\ status change ma_\ he made on 
the annual certificate renewal form or another fomi pro\ ided 
b\ the Board. 

(b) .A CP.A who does not meet the description of inactive 
or retired as defined in 21 NCAC 8A .0301 mav not be or 
remain on inactive or retired status. 

(c) A CP.A on retired status ma\ change to active status b_v : 

(1) paving the certificate renewal fee for the license 
\ear in v\hich the application for change of status is 
received; and 

(2) furnishing the Board with evidence of satisfacton.- 
completion of 40 hours of acceptable CPE courses 
during the 12 month period immediatelv preceding 
the application for change of status. Eight of the 
required hours must be credits derived from a 
course or examination in North Carolina 
accountancv statutes and rules (including the Code 
of Professional Ethics and Conduct contained 
therein) as set forth in 21 NCAC 8G .0401(a). 

(d) A CPA on retired status mav request change to inactive 
status bv application to the Board. 

(e) .Anv individual on inactive status mav change to active 
status bv complving with the requirements of 21 NCAC 8.1 
.0006(c). 

Histoij .\ote: Legislative Objection Lodged Eff. January 

31. 1983: 

Authority G.S. 93-1 2i8i: 93-I2(8b): 



Eff. December 1. 1982: 

Curative Adopted Eff. Januaiy 25. 1983: 

Amended Eff. Ausust 1. 1998: .April 1. 1994: March 1. 1990: 

Mar 1. 1989. 

.0006 FORFEITURE OR INACTIVATION OF 
CERTIFICATE AND REISSUANCE OR 
REINSTATEMENT 

(a) A certificate holder who detenriines that the certificate 
of qualification issued bv the Board is no longer needed or 
desired mav request inactive status b\ application to the 
Board. 

(b) A person who is inactive or has forfeited a certificate is 
no longer a CPA and thus is not subject to the renewal fee or 
CPE requirements contained in these Rules. 

(c) A person who desires to reinstate an inactive certificate 
or reissue a forfeited certificate shall make application and 
prov ide the following to the Board: 

( 1 ) pavment of the current certificate application fee; 

(2) three certificates of moral character and 
endorsements as to eligibility' signed b\ CPAs 
holding valid certificates granted bv anv state or 
territorv of the United States or the District of 
Columbia; and 

(3) evidence of satisfacton. completion of the CPE 
requirement described in 21 NCAC 8J .0005(c)(2). 

(d) The certificate mav be reinstated or reissued if 
determined bv the Board that the person meets the 
requirements as listed in Paragraph (c) of this Rule. 

Histon- .\ote: Authority- G.S 93-12(5); 93-1 2(8a); 

93-1 2(8b): 

Eff October 1. 1984: 

Amended Eff. Ausust L 1998: Februuiy 1. 1996: .April 1, 

1994: May I. 1989. 

.0010 REGISTRATION AND SQR FEES 

The annual registration fees shall be as follows: 
( 1 1 For participation w ithin SQR or for a request to be 
deemed in compliance with SQR- sevenrv-five 
dollars (S75.00) plus five dollars (S5.00) for each 
additional North Carolina office of the firm not 
excused from SQR by 21 NCAC 8M .0204; 

(2) For all professional corporations or professional 
limited liabilitv companies, twenty -five dollars 
(S25.00);and 

(3) For all non-incorporated firms vshich have offices 
both within and outside the state of North Carolina, 
whether sole proprietorships, partnerships, or 
registered limited liabilirv partnerships, an amount 
equal to two thousand five hundred dollars 
(S2.500.00) or the number of owners of the firm 
multiplied bv ten dollars (SIO.OO). vshichever is 
less. 

Histon- Sole: A uthorit^- G. S. 55B- 1 1 : 55 B- 12: 5 ~C- 1 : 5 ~C- 
2: 59-84.2: 93-12(-b): 93-12(8ai: 93-12l8ci: 
Eff. April I. 1991: 



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Amended Eff. August L 1998: April I. 1 994. 

SUBCHAPTER SIM - STATE QUALITY REVIEW 
PROGRAM 

SECTION .0100 - GENERAL SQR REQUIREMENTS 

.0101 PURPOSE 

The Board has adopted a state qualit> review (SQR) 
program to help CPA professionals in the public practice of 
accountancy maintain the quality of their audits, reviews, 
compilations, and agreed upon procedures. 

Histoiy Note: Aiithorin- G.S. 93- I2(8c): 
Eff. April 1. 1991: 
Amended Eff. Aiisiist I 1998. 

.0102 REGISTRATION REQUIREMENTS 

(a) A firm which has not perfomied any aiidiis, rexiews. 
compilations, or agreed upon procedures during the 12 months 
prior to the year-end of the registration required by 21 NCAC 
8J .0008(a) and (b) shall be exempt from the SQR program for 
the 12 months following the year-end but not from registering 
with the Board. 

(b) Unless exempt under Paragraph (a) of this Rule, each 
ongoing firni shall complete an SQR within 24 months 
following the \ear-end of each registration unless it has 
completed an SQR v\ ithin 24 months prior to the year-end. 

(ci Unless exempt under Paragraph (a) of this Rule, a new 
firm shall complete its initial SQR v\ ithin 24 months of the 
date of its initial registration pursuant to 21 NCAC 8.1 
.0008(a). 

(d) Every firm not exempt from SQR by Paragraph (a) of 
this Rule, after completion of a quality review, shall procure 
a statement signed by the review team captain, a statement 
signed by a member of the tlnn bein^ reviewed, or letter of 
acceptance from an approved review program, stating that the 
firm has completed an SQR or one of the review programs 
listed or referred to in 21 NCAC 8M .0104. The firm shall 
submit the statement or documentation with the annual 
registration following the review as set forth in 21 NCAC 8J 
.0008(c)(2). 

(e) For purposes of this Rule, an SQR is complete when the 
re\ iew team has deli\ ered its report required b\ 2 1 NCAC 8M 
.0306 to the reviewed firm. An\ qualit\ review other than 
SQR is complete when the review team has delivered its final 
report to the reviewed firm. If mailed, a report shall be 
deemed delivered when postmarked. 

Hisioiy Note: Authority G.S. 93- 111 "hi: 93-I2(8c): 
Eff .April 1, 1991: 

Amended Ejf. August A 1 998: Fehruary I. 1996: April I. 
1 99-1. 



REVIEWED 

(a) Each office of the reviewed firm not excused under 2 1 
NCAC 81VI .0204 shall select a set of engagements to be 
submitted for review as required by the programs listed in 21 
NCAC8M .0104(b)(1) and (2). 

(b) A set of engagements for review shall include the 
accountant's report and financial statements for one audit, one 
review, one compilation, and one agreed upon procedure, if 
these levels of service have been perfomied b\' the office 
within the 12 months preceding the year-end. If one or more 
levels of service have not been perfonned. the office shall 
select reports of the next highest level of service for reports 
required to be submitted. If. of the levels of service, only 
compilations have been performed by the office, the set of 
engagements shall include at least one compilation report on 
a complete set of financial statements which includes 
disclosures and one compilation report on a financial 
statement where management has elected to omit substantially 
all of the disclosures normally required by generally accepted 
accounting principles set forth in 21 NCAC 8N .0209, if both 
ts'pes of compilations are performed. 

(c) The set of engagements, if possible, shall include clients 
operating in different industries. For example, submission of 
one governmental audit, one manufacturing review and one 
contractor compilation vsould satisfy this requirement. 

(d) If a fimi to be reviewed does a governmental audit, at 
least one shall be included in the set of engagements. 

(e) An office of the reviewed firm not participating in the 
programs listed in 21 NCAC 8M .0104(b)(1) and (2) shall 
select a set of engagements to be submitted for review as 
required b> the applicable AlCPA Peer Review Program. 

History Note: .Authority G.S. 93-I2(8c): 

Eff .April 1. 1991: 

.Amended Eff August A 1998: .April I. 1994. 

.0204 CERTAIN OFFICES EXCUSED 

The following offices of participating firms are not required 
to participate in the SQR program: 

( 1 ) offices which are not North Carolina offices, and 
which have not perfonned any audits, reviews. 
compilations, or agreed upon procedures for clients 
in North Carolina; and 

(2) North Carolina offices which have not performed 
any audits, reviews, compilations, or agreed upon 
procedures for the 12 months prior to the year-end 
set forth in 21 NCAC 8.1 .0008. 

Histor\' Note: .Authority G.S. 93-12(80: 
Eff .April 1. 1991: 
Amended Eff .August 1. 1998. 

CHAPTER 12 - LICENSING BOARD FOR GENERAL 
CONTRACTORS 



SECTION .0200 



DUTIES OF THE REVIEWED 
FIRM 



.0201 



SELECTION OF ENGAGEMENTS TO BE 



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SECTION .0200 - LICENSING REQUIREMENTS 

.0204 ELIGIBILITY 

(a) Limited License. The applicant for such a license must: 

( 1 ) Be entitled to be admitted to the examination given 
b> the Board in light of the requirements set out in 
G.S. 87-10 and Section .0400 of this Chapter: 

(2) Be financialN' stable to the extent that the total 
current assets of the applicant or the firm or 
corporation he represents exceed the total current 
liabilities b\ at least twelve thousand five hundred 
dollars (512.500.00); 

(3) Successfull} complete 70 percent of each part of 
the examination gi\en the applicant h\ the Board 
dealing with the specified contracting classification 
chosen b_\ the applicant. 

(b) Intemiediate License. The applicant for such a license 
must: 

( 1 ) Be entitled to be admitted to the examination gi\ en 
b\ the Board in light of the requirements set out in 
G.S. 87-10 and Section .0400 of this Chapter; 

(2) Be financialK stable to the extent that the total 
cuuent assets of the applicant or the firm or 
corporation he represents exceed the total current 
liabilities b\ at least fift\ thousand dollars 
(S50.000.00) as reflected in an audited financial 
statement prepared b\ a certified public accountant; 

(3) SuccessfulK complete 70 percent of each part of 
the examination given the applicant b> the Board 
dealing w ith the specified contracting classification 
chosen b\ the applicant. 

(c) Unlimited License. The applicant for such a license 
must: 

( 1 ) Be entitled to be admitted to the examination gi\en 
b> the Board in light of the requirements set out in 
G.S. 87-10 and Section .0400 of this Chapter; 

(2) Be financiall) stable to the extent that the total 
current assets of the applicant or the firm or 
corporation he represents exceed the total current 
liabilities b\ at least one hundred thousand dollars 
(SI 00.000.00) as reflected in an audited financial 
statement prepared b\ a certified public accountant; 

(3) Successfully complete 70 percent of each part of 
the examination gi\en the applicant b\ the Board 
dealing w ith the specified contracting classification 
chosen b) the applicant. 

(d) Should the financial statement submitted b\ the 
applicant fail to demonstrate the required le\el of working 
capital, the applicant shall obtain a suret\ bond from a suret) 
authorized to transact suretx business in North Carolina 
pursuant to G.S. 58 .Article 7. 16. 21. or 22. The suret\ shall 
pro\ ide proof that it maintains a rating from .A.M Best, or its 
successor rating organization, of either Superior (A — or A-) 
or Excellent (.\ or A-). The bond shall be continuous in form 
and shall be maintained in effect for as long as the applicant 
maintains a license to practice general contracting in North 
Carolina or until the applicant demonstrates the required le\el 
of working capital. The application fomi and subsequent 



annual license renewal forms shall require proof of a suret\ 
bond meeting the requirements of this Rule. The applicant 
shall maintain the bond in the amount of fiftx thousand dollars 
(S50.000.00) for a limited license. n\o hundred flftx thousand 
dollars (S250.000.00) for an intermediate license, and five 
hundred thousand dollars (S500.000.00) for an unlimited 
license. The bond shall be for the benefit of an\ person who 
is damaged b\ an act or omission of the applicant constituting 
breach of a construction contract or breach of a contract for 
the furnishing of labor, materials, or professional ser\ ices to 
construction undertaken b\ the applicant, or b\ an unlaw ful 
act or omission of the applicant in the perfonnance of a 
construction contract. The bond required b_\ this Rule shall be 
in addition to and not in lieu of an% other bond required of the 
applicant b> law. regulation, or an\ parr\ to a contract w ith the 
applicant. Should the suretx cancel the bond, the suretx and 
the applicant both shall notifx the Board immediateh in 
writing. If the applicant tails to provide written proof of 
financial responsibilitx in compliance with this Rule within 30 
da\s of the bond's cancellation, then the applicant's license 
shall be suspended until written proof of compliance is 
provided. .After a suspension of t\\o >ears. the applicant shall 
fulfill all requirements of a new applicant for licensure. The 
practice of general contracting b\ an applicant whose license 
has been suspended pursuant to this Rule will subject the 
applicant to additional disciplinan, action b\ the Board. 

(e) Reciprocitv. If an applicant is licensed as a general 
contractor in another state, the Board, in its discretion, need 
not require the applicant to successfulK complete the written 
examination as provided b\ G.S.87-15.1. However, the 
applicant must compK with all other requirements of these 
rules to be eligible to be licensed in North Carolina as a 
general contractor. 

[f) Accounting and reporting standards. Working capital, 
balance sheet with current and fixed assets, current and long 
term liabilities, and other financial terminologies used herein 
shall be construed in accordance with those standards referred 
to as "generalK accepted accounting principles" as 
promulgated b\ the Financial .Accounting Standards Board, 
the American Institute of Certified Public Accountants, and. 
if applicable, through pronouncements of the Governmental 
Accounting Standards Board, or their predecessor 
organizations. An audited financial statement, an unqualified 
opinion, and other financial reporting terminologies used 
herein shall be construed in accordance with those standards 
referred to as "generalK accepted auditing standards" as 
promulgated b_v the American Institute of Certified Public 
.Accountants through pronouncements of the Auditing 
Standards Board. 

History \ote: A uthuriiy G. S. 8 '- 1 : 8 '- 1 0: 

Filed as a Temporaiy AnienJmeni Eft June 28. 1989 for a 

period of 155 days to expire on Deceiiiher I. 1989: 

Eff. Februaiy I . I9'6: 

Readopted Eff. September 26. 19": 

Amended Eff Janiiaiy I. 1983: 

ARRC Objeetion Mareh 19. 198': 

Amended Eff August L 1998: December 1. 1989: May 1. 



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1989: August 1. 1987. 

CHAPTER 14 - BOARD OF COSMETIC ART 
EXAMINERS 

SUBCHAPTER 14H - SANITATION 

.0005 SANITARY RATINGS AND POSTING OF 
RATINGS 

(a) The sanitan. rating of a beauK establishment shall be 
based on a system of grading outlined in this Subchapter. 
Based on the grading, all establishments will be rated in the 
following manner: 

( 1 ) all establishments receiving a rating of at least 90 
percent or more, shall be awarded a grade A; 

(2) all establishments receiving a rating of at least 80 
percent, and less than 90 percent, shall be awarded 
grade B. 

(b) Every beauty establishment shall be given a sanitary- 
rating. A cosmetic art school may be graded four times a year. 
and a cosmetic art salon may be graded once a year. 

(c) The sanitar> rating given to a beaut\ establishment shall 
be posted in a conspicuous place at all times. 

(d) No beauty establishment shall be permitted to operate 
without first having obtained a sanitar\ rating card uith a 
grade of not less than 80 percent, 

(e) Cosmetic art inspectors shall give each beauty 
establishment a new sanitan, rating card each \ear. 

(f) Violation of an> sanitan. rules, or the operation of a 
beauty i jtablishment which fails to receive a sanitary rating of 
at least 80 percent (grade B) shall be sufficient cause for 
revoking or suspending the letter of approval or permit. 

(g) A re-inspection for the purpose of raising the sanitars' 
rating of a beauty establishment shall not be given within 30 
days of the last inspection, unless the rating at the last 
inspection was less than 80 percent. 

Hisloty Note: A uthority G. S. 88-23: 88-30: 

Efj: Februaty 1. 19^6: 

Amended Eff. August 1. 1998: June 1. 1994: April 1. 1991: 

January 1. 1989. 

SUBCHAPTER 14J - COSMETOLOGY 
CURRICULUM 

SECTION .0500 - CREDIT FOR COSMETOLOGY 
STUDY OUTSIDE OF NORTH CAROLINA 

.0501 APPROVAL OF CREDIT FOR 

COSMETOLOGY INSTRUCTION/ 
ANOTHER STATE 

(a) An applicant maN receive credit for instruction taken in 
another state if the conditions set forth in this Rule are met. 

(b) The applicant's record shall be certified b\ the state 
agency or department that issues licenses to practice in the 
cosmetic arts. If the agenc\ or department does not maintain 
any student records or if the state does not give license to 
practice in the cosmetic arts, then the records ma> be certified 



by any state department or state agency that does maintain 
such records and is willing to certify their accuracy. If no 
state department or board will certify the accuracy of the 
student's records, then this Board shall review the student's 
records on a case-by-case basis. 

(c) If the requirements of Paragraph (b) of this Rule are 
met. then the Board shall give credit for hours of course work 
and for mannequin and live model performances to the extent 
certified, up to the amount of credit that the student would 
receive for instruction in a school licensed b\ the Board. If 
the certification includes only total hours and does not specify 
what performances have been completed, this Board will not 
give any credit for performances completed as part of the 
out-of-state instruction. 

History Note: .Authority G. S. 88- 1 2: 88- 1 9: 

Eff. .\lareh 2. 1992: 

Amended Efj: August 1. 1998: June 1, 1994. 

SUBCHAPTER 14K - MANICURIST CURRICULUM 

.0003 EQUIPMENT AND INSTRUMENTS 

(a) A manicurist school shall be equipped with the 
follow ing minimum equipment: 

( 1 ) two handwashing sinks, separate from restrooms. 
located in or adjacent to the clinic area. 

(2) enough chairs so that each patron has a place to sit 
in the clinic area. 

(3) 10 work tables with lights in the clinic area for 
e\er\ 20 students. 

(4) pedicure chair and basin, 

(5) one wet and one dry sterilizer for each work table, 

(6) a covered waste container located in the clinic area, 
and 

(7) a covered container for soiled or disposable towels 
located in the clinic area, and 

(b) Each student shall be supplied with: 

( 1 ) a manicurist bowl, 

(2) nail brushes, 

(3) a tray for manicuring supplies, 

(4) one mannequin hand. 

(5) a manicuring kit containing proper implements for 
manicuring and pedicuring, and 

(6) implements for artificial nails, nail wraps and 
tipping. 

History Note: Authority G.S. 88-23: 88-30: 
Eff. Februaiy 1. 19'6: 
Amended Eff August 1. 1998. 

SUBCHAPTER 14N - EXAMINATIONS 

SECTION .0100 - GENERAL PROVISIONS 

.0102 INITIAL APPLICATIONS AND FEES 

(a) All applications for examination must be on a fonn 
pro\ ided b> the Board. 

(b) If special arrangements are required, the initial 



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135 



APPRO} ED RILES 



application to take an examination must include, an 
application for special arrangements pursuant to 21 NCAC 
14N.0107. 

(c) The application must be tiled with the Board and 
accompanied by the applicable examination fee. If the 
application is not signed or is inadequateK completed, or the 
proper supporting documentation is not enclosed, or the 
applicable fee is not paid, the application shall be deemed 
incomplete and returned. 

(d) If the examination fee is paid b_\ check or mone\ order, 
the check or money order shall be made payable to the "Board 
of Cosmetic Art Examiners". 

(e) If at all possible, the Board shall schedule candidates 
whose properK completed applications are received b\ the 
10th of one month to take the examination during the 
following month. The Board shall assign the candidate to the 
location nearest to the candidate that is available for that 
month. 

Histo)yNote: Authority G.S. 88-10(2): 88-12(2): 88-16: 
88-1": 88-21(ai(16i: 88-23: 88-30(4): 
Eff.Jiine 1. 1992: 
Amended Eff. August L 1998. 

.0107 SPECIAL ARRANGEMENTS FOR DISABLED 

(a) If a candidate has a disability which will require special 
arrangements to take an examination, the candidate shall 
request such arrangements with his or her application for 
examination. The request for special arrangements shall be in 
writing and shall set out in sufficient detail what special 
arrangements are needed. The Board shall make reasonable 
accommodations for candidates requesting assistance under 
this Section, including an\' assistance required b\ applicable 
provisions of the Federal Americans with Disabilities Act. 

(b) If reading assistance, or a reader is required, the 
application for special arrangements shall also be 
accompanied by a letter from the candidate's cosmetic art 
school which documents the assistance the candidate required 
during classes there. In addition, the candidate shall submit a 
letter from a professional qualified to diagnose and document 
the disability . 

(c) The application, accompanied by a letter from a 
professional qualified to diagnose shall document the 
disabilit\. 

(d) The candidate shall provide an\ special equipment or 
readers. A reader shall be 1 8 years of age or older. 

(e) A reader shall not be; 

(1 ) currentK or fomierK licensed b\ this state or any 
state, nor ha\e received or is currently receiving any 
training, in an_\ branch of cosmetic art; 

(2) a current or fomier owner or emplovee of an\ 
beaut} establishment; 

(3) simultaneousK a model for an\ candidate taking the 
examination. 

(f) The application for permission to use a reader shall be 
made on a form pro\ ided b\ the Board. 

History \otc: Auilmritv G.S. 88-10(2/: 88-1 2(2i: 88-16: 



88-1': 88-21(a)(16i: 88-23: 88-30(4i: 

Eff. June 1. 1992: 

Amended Eff. Aiisust 1. 1998: January I. 1996. 

.0113 RE-EXAMINATION 

(a) If, upon application for re-examination, the applicant 
has taken and passed one section of an examination, he or she 
shall apply for re-examination only on the section of the 
examination which he or she did not pass. 

(b) Applicants for re-examination must appl\ for 
re-examination in writing and pay the appropriate examination 
fee. 

(c) Notwithstanding any other provision of these Rules, 
pursuant to G.S. 88-16(4). a cosmetologv candidate or other 
candidate who has failed either section of the examination five 
times, is required to complete an additional 200 hours of stud\ 
at an approved cosmetic art school before another application 
for re-examination max be accepted b\ the Board. 

(d) An\ candidate for the cosmetology teacher examination, 
or manicurist teacher examination, who fails the examination 
twice. ma> request an examination review. The candidate 
must complete no less than 200 hours in a teacher training 
course designed to address the candidate's deficiencies before 
taking the examination again. 

(e) Upon written request b\ anv candidate, the Board shall 
release a summary of the results of each categon of the 
practical section of the most recent examination to the school 
in which the candidate is enrolled for the additional studv. 
pursuant to G.S. 88-16(4) or Paragraph (d) of this Rule. 

(f) A candidate for licensure as an apprentice cosmetologist 
who passes the examination v\ith a score of 75 percent or 
more on both sections: and subsequentlv completes an 
additional 300 hours within one vear of the examination date 
max be licensed as a cosmetologist under G.S. 88-12 without 
retaking the examination. 

Histoiy Notes: Authority- G.S. S8-10(2i: 88-12(2): 88-16: 

88-1': 88-21(a)(16): 88-23: 88-30(4): 

Eff. June 1. 1992: 

Amended Eff. August L I99S: June 1. 1 993. 

CHAPTER 18- BOARD OF EXAMINERS OF 
ELECTRICAL CONTRACTORS 

SUBCHAPTER I8B - BOARD'S RL LES FOR THE 

IMPLEMENTATION OF THE ELECTRICAL 

CONTRACTING LICENSING ACT 

SECTION .0100 - GENERAL PROVISIONS 

.0107 PROCESSING FEE FOR SUBMITTAL OF 
BAD CHECK 

(a) Anv person, tlnn or corporation submitting to the Board 
a check which is subsequentlv returned to the Board because 
of insufficient funds in or no account at a bank shall be 
charged the maximum processing fee allowed bv G.S. 
25-3-506 for processing such check. 

(b) Until such time as the pavor of such bad check has 



136 



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13:1 



APPROl'ED RULES 



made the check good and paid the prescribed processing fee, 
the payor shall not be eligible to take an examination, review 
an examination, obtain a license or have a license renewed. 

(c) Any license uhich has been issued based on the 
payment of a check v\hich is subsequently returned to the 
Board for reasons stated herein shall be declared invalid until 
such time as the payor has made the check good and paid the 
prescribed processing fee. 

(d) Payment to the Board for making good such bad check 
and for the prescribed processing fee ma\ be made in the form 



of cash, cashier's check or money order. 

(e) All examination, examination review, license and 
license renewal applications provided by the Board shall 
contain information in a conspicuous place thereon clearly 
advising the applicant of the foregoing bad check processing 
fee. 

History Note: Authority G.S. 25-3-506: 8~-42: 
Effi October I. 1988: 
Amended Eff. Mar L 1998. 



SECTION .0200 - E.XAMINATIONS 

.0209 FEES 

(a) The combined application and examination fees for the regular qualifying examinations in the various license 
classifications are as follows: 

APPLICATION AND EXAMINATION FEE SCHEDULE;REGULAR 





APPLICATION 


EXAMINATION 


rLASSIFICATlON 


FEE 


FEE 


Limited 


Si 5.00 


$15.00 


Intermediate 


$30.00 


S30.00 


Lnlimited 


$65.00 


$50.00 


SP-SFD 


$15.00 


$15.00 


Special Restricted 


$15.00 


$15.00 



TOTAL 


COMBINED 


FEE 


S 30.00 


$ 60.00 


$115.00 


$ 30.00 


$ 30.00 



(b) The combined application and examination fees for a specially -arranged qualifving examination in the various license 
classifications are as follows: 

APPLICATION AND EXAMINATION FEE SCHEDULE: 
SPECIALLY ARRANGED 



CLASSIFICATION 



APPLICATION 
FEE 



EXAMINATION 
FEE 



TOTAL 

COMBINED 

FEE 



All Classifications 



$100.00 



SIOO.OO 



S200.00 



(c) The fee for a supervised rexiew of a failed examination with the Board or staff assistance is ten dollars (SI 0.00) for all 
classifications. 

(d) The total combined application and examination fees for regular or specialK -arranged examinations in all classifications 
and the fees for examination reviews ma\ be in the fomi of cash, check or mone\ order made pa\able to the Board and must 
accompanv the respecti\e applications when filed with the Board. 

(e) Application and examination fees received with applications filed for qualifying examinations shall be retained by the 
Board unless: 

( 1 ) an application is not duK filed as prescribed in Rule .0210 of this Section, in which case the combined application and 
examination fee shall be returned: or 

(2) the applicant does not take the examination during the examination period applied for and files with the Board a written 
request for a refund, setting out extenuating circumstances. The Board shall refund the application fee. the 
examination fee. or both, if it tlnds extenuating circumstances. 

(f) Examination review fees are non-refundable unless the applicant does not take the re\ iew and files w ith the Board a written 
request for a refund, setting out extenuating circumstance. The Board shall refund the fee if it finds extenuating circumstances. 

(g) Any fee retained b\ the Board shall not be creditable toward the payment of an\ future application of examination fee or 
the fee for an examination rex iew . 

(h) Extenuating circumstances for the purposes of Paragraphs (e)(2) and (f) of this Rule shall be the applicant's illness, bodily 



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137 



APPROVED RULES 



injun. or death, or death of the apphcant's spouse, child, parent or sibHng. or a breakdown of the applicant's transportation to the 
designated site of the examination or examination re\ie\\. 



Histon- Note: A uthority G. S. 8 '-42: 8 '-43. 5: 8 '-43. 4: 8 '-44: 

Eft: October 1. 1988: 

.Amended Eff. Man- /, 1998: July I. 1989. 

SECTION .0400 - LICENSING REQUIREMENTS 

.0404 ANNUAL LICENSE FEES 

(a) The annual license fees and license renewal fees for the various license classifications are as follows: 

LICENSE FEE SCHEDULE 

CLASSIFICATION 

Limited 

Intermediate 

Unlimited 

SP-SFD 

Special Restricted 

(b) License fees ma_\ be in the fonn of cash, check or an_\ mone\ order made payable to the Board and must accompany the 
applicant's license application or license renewal application when either is filed w ith the Board. 

History Note: .Autliorit}- G.S. 8~-42: 8'-44: 

Eff. October 1. 1988: 

Amended Eff. ^Jgr L 1998: July I. 1989. 



CI 


ENSE 


FEE 


s 


30.00 




s 


60.00 




SI 15.00 




s 


30.00 




s 


30.00 





SECTION .0800 - SPECIAL RESTRICTED 
LICENSES 

.0802 ESTABLISHING A SPECIAL RESTRICTED 
CLASSIFICATION 

(a) The Board shall establish a special restricted license 
classification pursuant to G.S. 87-43.3 when it finds that: 

( 1 ) the licensees w ho hold regular electrical contracting 
licenses are not meeting the need for the proposed 
electrical work to be authorized b\ the special 
restricted license: and 

(2) establishing the special restricted license 
classification ser\es the public interest. 

(b) The Board shall establish special restricted license 
classifications b> rule-making conducted pursuant to the 
requirements of G.S. 150B. Article 2 A. 



Histoiy Note: Aiithorit}- G.S. 8' 
Eff October 1. 1988: 
Amended Eff ^f^y L 1998. 



-42: 8 '-43. 3: 



Code are hereb\ incorporated b_\ reference, including 
subsequent amendments and editions, for contested cases for 
which the Board has authority to adopt rules under G.S. 
1 50B-38(h). Provided, however, that if the case is conducted 
under G.S. 150B-40(b). the presiding officer shall ha\e the 
powers and duties gi\en to the Chief Adniinistrati\e Law 
.ludge or the presiding administrative law Judge in Title 26. 
Chapter 3 of the North Carolina Administrative Code and that 
26 NCAC 3 .0101(2). .0102(a)(2). .0103. .0126 and .0128 
shall not applv. Copies of Title 26. Chapter 3 of the North 
Carolina .Administrative Code are on file in the Board's office 
and may be obtained therefrom at the Board's actual cost of 
copv ing and mailing. 

Histoiy Note: Authority G.S. 8~-42: 8'-4': 1508-21.6: 

150B-38ih): 

Eff. October 1. 1988: 

Amended Eff. May 1 . 1998. 

CHAPTER 46 - BOARD OF PHARMACY 



SECTION .0900 - VIOLATIONS AND CONTESTED 
CASE HEARINGS 



SECTION .1400 - HOSPITALS: OTHER HEALTH 
FACILITIES 



.0904 ADMINISTRATIVE HEARING 
PROCEDURES 

The rules establishing procedures for contested cases 
adopted bv the Office of .Administrative Hearings as contained 
in Title 26. Chapter 3 of the North Carolina .Administrative 



.1414 DRUG DISTRIBUTION AND CONTROL 

(a) MEDICATION ORDERS. 
( 1 ) Medications shall be dispensed from a health care 
facilit} phamiacv onlv upon receipt of a medication 
order. A mechanism shall be in place to verif> the 



138 



NORTH CAROLINA REGISTER 



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13:1 



APPROVED RULES 



authenticit)' of the medication order. Oral orders shall be put 
in writing immediately and signed within the time frame 
established by regulatory agencies and health care facility 
policies and procedures. 

(2) All medication orders shall be received and 
reviewed by a pharmacist and. at a minimum, shall 
contain the: 

(A) patient's name, location and other necessary 
identilSing information such as histon, or 
medical records number; 

(B) medication name, strength, dosage form, 
route of and directions for administration. In 
the absence of a facilirs policy on 
interpretation of routes of administration, the 
route of administration must be specified; 

(C) date the order was written; and 

(D) prescriber's signature (may include electronic 
signature or \eritlcation). 

(3) Medication orders for patients requiring continuous 
drug therapy shall be entered into a patient 
medication profile, either manual or automated. 
The medication profile shall, at a minimum, contain 
the: 

(A) patient's name, location and important 
clinical data such as age. height, weight, sex. 
and allergies: 

(B) medication name, strength, dosage form, 
route of and directions for administration: 

(C) medication start date: 

(D) medication discontinuance date: and 

(E) identification of pharmacist responsible for 
or verilying technician entr\ of the 
medication order: 

(4) Abbreviations used in medication orders shall be 
agreed to. jointly adopted, and published b\ the 
medical, nursing, pharmacy, and medical records 
staff of the health care facility. 

(5) Medication orders shall be reviewed and 
discontinued or suspended, if appropriate, when the 
patient is transferred to the deliven room, operating 
room, or is admitted from another facilit\. A 
method to protect the patient from indefinite, open- 
ended drug orders must be provided. The 
prescriber shall be notified in a timeh manner that 
the order shall he stopped before such action takes 
place by one or more of the following: 

(A) the routine monitoring of patient's drug 
therap\ b_\ a pharmacist; 

(B) a health care facility -approved, drug class- 
specific, automatic stop order policy 
covering those drug orders not specifying a 
number of doses or duration of therap\ ; or 

(C) a health care facility -approved automatic 
cancellation of all drug orders after a 
predetermined time interval unless rewritten 
b\ the prescriber. 

(6) Health care facilities which credential practitioners' 
for prescribing privileges within the facility shall 



provide the health care facilitN' pharmacv with 
credentialing infomiation annually or immediately 
upon discharge or w hen privileges are suspended or 
terminated. 

(b) DEVICES. Devices shall be dispensed in accordance 
with Section .2600 of this Chapter. 

(c) DISPENSING. In health care facilities with 24 hour 
phamiacy services, all dispensing shall be done by a 
phannacist. In health care facilities without 24 hour pharmacy 
services. Rule .1413 shall apply in the absence of a 
pharmacist. 

(d) LABELING. 

(1) All drugs dispensed from within a health care 
facility pharmacv shall be labeled and identified up 
to the point of administration; 

(2) Whenever a drug is added to a parenteral 
admixture, it shall be labeled with a distinctive 
supplementary label indicating the name and 
amount of the drug added, expiration date, and 
expiration time, if applicable. For admixtures 
prepared outside the pharmacy, the pharmacist- 
manager shall develop policies and procedures for 
preparation and labeling. 

(e) PARENTERAL MEDICATIONS. The dispensing of 
parenteral medications shall be done in accordance with 
Section .2800 of this Chapter - Sterile Parenteral 
Pharmaceuticals. 

(f) PATIENT CARE LFNIT MEDICATION 
INVENTORIES. This Paragraph does not apply to nursing 

jcilities. assisted living facilities, and adult care homes. 

( 1 ) Non-controlled drugs may be stocked in quantities 
limited to not more than five dosage units per drug 
on a health care facility patient care unit when 
immediate availabilitv is deemed essential to the 
patient's health and well-being. The phannacist- 
manager shall develop an approved drug list for 
each health care facility location. Drugs shall be 
stored in a manner that prevents unauthorized 
access and shall onlv be administered to a patient of 
the health care facility pursuant to a medication 
order. 

(2) All controlled substances stocked within a health 
care facility that are not located within the facility's 
phannacv or automated dispensing device must be 
accompanied bv a disposition form issued from the 
pharmacv. This document shall at a minimum 
contain: 

(A) the product name, strength, dosage fonn. and 
quantity supplied; 

(B) the date transferred to the patient care unit by 
the phannacv; 

(C) the name of the pharmacv representative 
supplving. and the patient care unit 
representative receiving the drug; 

(D) the date. time, and amount of the drug 
removed from the patient care unit stock for 
administration; and 

(E) the patient name and identification of the 



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139 



APPROVED RULES 



person acquiring tiie product. 

(3) Exceptions to this Paragrapii shall be made for use 
of automated dispensing devices provided that these 
devices meet all applicable rules for controlled 
substances contained therein. 

(4) When a dose of a controlled substance has been 
prepared for a patient but not used (i.e.. refused, 
order canceled, or contaminated), it ma\ be 
destroved at the patient care unit. The destruction 
must be witnessed by a health care provider, such 
as a pharmacist, registered nurse, or licensed 
practical nurse. Details of the event, along \\ ith the 
identification of the two who affected the 
destruction, shall be documented. If such record is 
separate from the disposition form, it shall be 
maintained unifomiK with the corresponding 
disposition form. 

(g) ANCILLARY DRUG CABINET INVENTORIES. 
(This Paragraph does not apply to nursing facilities, assisted 
living facilities, and adult care homes.) Drugs that are 
routine!) prescribed b\ the medical staff in a health care 
facility shall be maintained in establishing and maintaining 
quantities limited to not more than five dosage units per drug 
as a supplementar\ inventop. for use only v\hen the pharmacy 
is closed. The pharmacist-manager shall, in connection w ith 
the appropriate committee of the health care facilit)'. develop 
listings of those drugs to be included in such inventories. The 
pharmacist-manager shall, at a minimum, assure that: 

( 1 ) access to such drug inventories is b\ locked 
cabinet(s) or other enclosure(s) constructed and 
secured to denv access to unauthorized persons; 

(2) onl_\ authorized personnel, as indicated b\ written 
policies and procedures, shall obtain access to the 
drug inventories; 

(3) onlv pre-packaged drugs are available therein, in 
amounts sufficient for immediate therapeutic 
requirements. Drugs shall be properK labeled. v\ith 
drug name, strength, lot number and expiration 
date. Whenever access to such inventorx is gained, 
a copv of the record of withdrawal and a copv of 
the written order for new drug orders shall be 
provided to the pharmacv. The record of 
vsithdrawal shall contain the following: 

( A ) the date of removal of the drug; 

(B) the name, strength, dosage form, and 
quantitv of drug removed; 

(C) the name of the patient for whom the drug 
was ordered: 

(D) the name or identification code of the 
authorized personnel remov ing the drug from 
inventorx; 

(4) all drugs are reviewed no less often than quailerK 
to ensure their purity, potencv. and integritx; and 

(5) written policies and procedures are established to 
implement the requirements of this Rule. 

(h) AUTOMATED DISPENSING OR DRUG SUPPLY 
DEVICES. Automated Dispensing or Drug SuppK Devices 
such as but not limited to Pvxis machines mav be utilized in 



health care facilitv' pharmacies and where a pharmacy permit 
exists provided that the pharmacist-manager has developed 
procedures to assure safe and effective use of medications. 
Automated dispensing or drug suppK devices mav be used for 
maintaining patient care unit medication inventories or for a 
patient profile dispensing system. The phannacist-manager 
shall, at a minimum, assure that: 

( 1 ) onlv authorized personnel, as indicated bv vsritten 
policies and procedures, mav obtain access to the 
drug inventories; 

(2) all drugs therein are reviewed no less than monthlv ; 

(3) A svstem of accountability must exist for all drugs 
contained therein; the puritv; potencv . and integrity 
of the drugs shall be preserved; 

(4) the device prov ides records required bv this Section 
and other applicable laws and rules; 

(5) written policies and procedures are established to 
implement the requirements of this Rule; and 

(6) requirements for controlled substances security are 
met. 

(i) EMERGENCY KITS. (This Paragraph does not apply 
to adult care homes or assisted living facilities) Drugs and 
devices mav be provided in emergencv kits for use bv 
authorized personnel prov ided that: 

( 1 ) the phamiacist-manager. or designee, and the 
medical staff of the health care facility Jointlv 
determine the drugs and devices, bv identirv and 
quantity, to be included in the kit. Drugs and 
devices included in the kit shall be limited to those 
for emergencv use onlv and are not to be used for 
anv other purpose. The pharmacist-manager shall, 
in conjunction with the medical staff of the health 
care facilitv. develop and implement written 
policies and procedures to ensure compliance with 
the prov isions of this Section; 

(2) the emergencv kit contains those drugs and devices 
which mav be required to meet the immediate 
therapeutic needs of patients and which are not 
available from anv other authorized source in 
sufficient time to prevent prolonged discomfort or 
risk of harm to patients; 

(3) the emergencv kit shall be stored in a secure, 
readilv available location under the supervision of 
the nursing staff and sealed w ith a non-reusable, 
easily removable seal to prevent unauthorized 
access, and to ensure a proper environment for 
preservation of the drugs and devices within them. 
Policies and procedures shall be established to 
ensure the integritv of the kit at all times; 

(4) the exterior of the emergencv kit shall be labeled so 
as to clearK' and unmistakablv indicate that it is an 
emergencv drug kit and is for use in emergencies 
only. In addition, a listing of the drugs and dev ices 
contained therein, including name, strength, and 
quantitv' of each drug or device shall be attached. 
Each emergencv kit shall be inspected bv a 
pharmacist or his designee everv 30 davs (90 days 
for long-term care facilities) to check for expiration 



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dates and the integrity of the seal: 

(5) all drugs and devices contained within the 
emergency kit shall be labeled, if applicable, with, 
at a minimum, the name, strength, lot number, 
manufacturer, and expiration date: 

(6) drugs and devices shall be removed from the 
emergency kit for administration to a patient only 
pursuant to a vaHd physician's order. b\ personnel 
authorized b\ the facility: 

(7) whenever an emergenc\ kit is opened, the pharmac\' 
shall be notified. The pharmacist-manager or 
designee shall re-stock, re-seal, and return the kit to 
the unit within a reasonable length of time in order 
to prevent risk of harm to patients. The emergency 
drug kits shall be checked b) an authorized person 
in accordance with written policies and procedures 
of the health care facilit\. In the event the kit is 
opened in an unauthorized manner, the phannacy 
and other personnel designated b> the pharmacist- 
manager of the facility shall be notified: and 

(8) CONTROLLED DRUG EMERGENCY KITS, 
EmergencN drugs that are controlled substances 
must be stored in compliance with 10 NCAC 45G 
.0410. 

U) RECORDS 

( 1 ) The pharmacist-manager shall, in addition to the 
requirements for preserx ing prescription orders as 
set forth in G.S. QO-85.26, de\elop a s\stem of daih 
accountabilit} for medication compounding and 
dispensing that shall pennit the identification of the 
responsible phannacist. ReadiK retrievable records 
of accountability shall be maintained for at least 30 
days. At a minimum, this s\stem shall identify all 
personnel who perform these activities and the 
pharmacist responsible for: 

(A) interpretation and appropriateness of new- 
medication orders: 

(B) profile entrv of new medication orders: 

(C) dispensing of new medication orders 
including stat doses: 

(D) daih cart fills: 

(E) intravenous admixtures: 

(F) compounded medications: and 

(G) periodically assessing the quality of 
pharmacN procedures for preparation and 
release of drugs and devices for 
replenishment of floor stock, ancillan. drug 
supplies, and automated dispensing de\'ices 
in locations outside the pharmacv. 

(2) Medication errors resulting from the administration 
of an incorrect medication or dose shall be 
documented and reported to the phannacist- 
manager. Documentation shall include pertinent 
chronological infomiation and appropriate health 
care facility fonns including the identitx of 
indi\idual{s) responsible. These documents shall 
be archived in a readiK retrievable manner, open 
for inspection, for a period of three \ears. 



(3) Upon notification of infomiation that reasonably 
suggests that there is a probability a prescription 
drug or device dispensed from a location holding a 
permit has caused or contributed to the death of a 
patient (see 21 NCAC 46 .2.'^02(k) 
RESPONSIBILITY OF PHARMACIST- 
MANAGER), the pharmacist-manager shall retain 
all documents, labels, vial, supplies, substances and 
internal investigative reports relating to the event. 
All such items shall be maintained b\ the health 
care facilitv. accessible to the pharmacist-manager, 
and open to the Board of Pharmacv . 

(4) The pharmacist-manager shall maintain records of 
ordering, receiving, dispensing or transfer of 
controlled substances. These records shall include, 
but are not limited to the following: 

(A) Invoices or other such documents verifv'ing 
the ordering and receipt of controlled 
substances: 

(B) Perpetual inventories of controlled 
substances transferred to patient care units 
and other sites as allowed b> this Rule (i.e., 
automated dispensing devices, emergency 
kits. etc.). These inventories shall record the 
transfer date: location transferred to: the 
identir\ of the drug: strength, dosage fomi. 
and quantity transferred: transfen'ing 
pharmacist's name: 

(C) Disposition records required b\ Paragraph 
(f) of this P .le: 

(D) A record of controlled substances dispensed 
directly to the patient to include the patient's 
name: date dispensed: dispensing 
phannacist's name: name, strength, dosage 
form, and quantity of the drug dispensed. 
The records shall also document drugs 
returned and credited: and 

(E) .A perpetual inventor, shall be maintained on 
all controlled substances awaiting 
destruction or return to a vendor. 

(5) Automated s\ stems ma\ be used to collect and store 
information required b\ Subparagraph (j)(4) of this 
Rule provided such svstem allows for the 
immediate retrieval (\ ia CRT displa\ and hard-copy 
printout) of original medication order information 
and dispensing history consistent with criteria cited 
in 2 1 CFR . 1 306 and 1 NCAC 46 .2304. 

(6) With the exception of Subparagraph (])(\) of this 
Rule, all records required by this Section shall be 
maintained for a period of three \ears. Such 
records shall be archived in a uniform manner, 
retrievable to the phamiacv within 48 hours, and 
open for review, copving. or seizure b> a member 
or designated emplovee of the Board. 

HistoiyNote: Aiilhoriiy GS. 90-85.6:90-85.21: 90-85.32: 

90-85.33: 

Eff. Max I 1997: 



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141 



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Amended Eff. Atisust L 1'^'^^- 

SECTION .1800 - PRESCRIPTIONS 

.1813 ELECTRONIC TRANSMISSION OF 

PRESCRIPTION ORDERS 

(a) "Electronic transmission" means transmission of the 
digital representation of information b\ \\a\ of electronic 
equipment other than facsimile machine described in Rule 
.1807 of this Section. 

(b) All prescription drug orders communicated b_\ \\a\ of 
electronic transmission shall: 

(1) be transmitted directK to a pharmacist in a 
pharmac) of the patient's choice with no 
inter\'ening person ha\ ing access to the prescription 
drug order; 

(2) identif} the transmitter's phone number for \erbal 
confirmation, the time and date of transmission, and 
the identit} of the phamiacx intended to recei\ e the 
transmission: 

(3) be transmitted b\ an authorized practitioner or his 
designated agent and contain a digital signature 
unique to the practitioner: and 

(4) be deemed the original prescription drug order. 
pro\ ided it meets all requirements of federal and 
state law s and regulations. 

(c) The prescribing practitioner ma\ authorize his agent to 
electronicalK transmit a prescription drug order to a 
pharmacist in a pharmac\ pro\ided that the identity of the 
transmitting agent is included in the order. 

(d) The pharmacist shall exercise professional Judgment 
regarding the accuracy. \alidit\. and authenticit\ of an 
electronicalK transmitted prescription drug order consistent 
with federal and state laws and regulations. 

(e) All equipment for receipt of prescription drug orders b\ 
electronic transmission shall be maintained so as to ensure 
against unauthorized access. 

(f) Prescriptions ma\ be transferred electronicalK if all the 
requirements of Rule . 1 806 of this Section are met. 

Histoiy \ote: A tnhorin G. S. 90-85. 6: 90-85. 32: 
Eff Align,'.! 1. I99S. 

SECTION .2600 - DEMCES 

.2611 MEDICAL EQUIPMENT 

(a) Medical equipment suppliers shall demonstrate to the 
Board's satisfaction a working knowledge of the ser\ices 
pro\ ided and how the\ relate to each patient's goals. 

(b) Medical equipment suppliers shall: 

( 1 ) Document w here appropriate, information from the 
ph\sician or other medical personnel as to the 
patient's specific needs to be met b> the equipment 
deli\ered as well as the effecti\eness of the 
equipment in meeting those needs: 

(2) In consultation with the referring health 
professional(s). patient, patient's famiK and other 
primaPv care pro\iders. delineate the appropriate 



choices of commercialK a\ailable equipment to 
meet the specified needs of the patient: 

(3) Participate in the measurement of the patient, 
utilizing appropriate instruments and techniques to 
assure the tit and function of the selected 
equipment; 

(4) Deli\er. tit and adjust the prescribed equipment; 

(5 ) Instruct the patient or famil_\ in the safe and proper 
use and care of the equipment pro\ided in 
compliance w ith Rule .2504; 

(6) Pro\ ide service and support for the equipment 
dispensed or delivered and. within 72 hours. 
pro\ide a response to patient requests for repair 
service on equipment supplied; 

(7) Maintain liabilit> insurance of at least one million 
dollars (SI. 000.000) worth of coverage: 

(8) Demonstrate that each item sold or rented has been 
checked, is free of defect, and operates within the 
manufacturers' specifications; 

(9) Refrain from moditving equipment to the extent 
that the modification might reasonabK cause harm; 

(10) Maintain all electrical components so that the\ do 
not present a fire or shock hazard; 

(11) Ensure that all appropriate warning labels or 
labeling, including tags, are present on the 
equipment provided; 

(12) Maintain documentation demonstrating that a 
function and safer\ check of equipment was 
performed prior to set up: 

(13) Maintain an established protocol for cleaning and 
disinfecting equipment which addresses both 
aerobic and anaerobic pathogens including 
procedures to pre\ent cross-contamination: and 

(14) Clean and disinfect equipment according to 
manufacturers' specifications. 

(c) Medical equipment suppliers shall implement a 
comprehensi\e pre\entati\e maintenance program for rental 
equipment which includes the following: 

( 1 ) Procedures for problem reporting, tracking, recall, 
and resolution; 

(2) Performance of ser\ice as specified b> the 
manufacturer and the documentation of such 
performance in the ser\ ice records: and 

(3) Maintain documentation of repair and maintenance 
of equipment. The following information shall be 
documented in the repair log: 

(A) T\pe of equipment; 

(B) Manufacturer; 

(C) Model; 

(D) Serial number; 

(E) Date of repair: 

(F) Specific repair made; and 

(G) Name of person or compan) performing the 
repair. 

(d) In addition to Section .2500 of this Chapter pro\iders 
of parenteral and enteral nutrition ser\ ices shall compK with 
the following counseling requirements: 

( 1 ) Utilize orientation checklists to re\ lew : 



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APPROVED RILES 



(2) 
(3) 

(4) 



(A) Instructions for use of the equipment; 

(B) Safet>- precautions; 

(C) Cleaning procedures; 

(D) {Maintenance procedures: and 

(E) Return demonstrations on equipment 
delivered; 

Instruct the patient about emergency and routine 
contact procedures; 

Deliver and revievs with the patient written 
instruction materials to ensure that the patient 
receives adequate information to proper!) operate 
the equipment: and 

A written plan of service shall be developed, 
implemented, and documented in the patient record. 
The plan of service shall include, but is not limited 
to. the assessment of the safety of the home 
environment, the caregiver or patient's ability to 
comply w ith the prescription, and the caregiver or 
patient's ability to operate and clean the equipment 
as instructed. 



Histoiy Note: Authority G.S. 90-85. 3(e). (Hi. ID: 9U-85.6: 

90-85.22: 

Eff. .Men- 1. 199': 

.■\mended Eft: .Aimist !. 1998. 

CHAPTER 48 - BOARD OF PHYSICAL THERAPY 
EXAMINERS 

SUBCHAPTER 48A - ORGANIZATION 

SECTION .0100 - TYPES OF LICENSES 

.0103 MEMBERSHIP OF BOARD 

(a) Selection of Board Members. Nominations for 
members of the Board shall be sought from licensees residing 
in North Carolina. The ballots that are distributed to each 
licensee in North Carolina shall list each nominee's place and 
location of emplo>ment and practice setting. The ballots shall 
be forwarded to the President of the North Carolina Physical 
Therapy Association. 

(b) Decisions. 

(1) Decisions involving disciplinary proceedings will 
be reached by a majority of the Board Members 
present and eligible to participate in the disciplinary 
proceedings: provided that a quorum consists of 
five Board Members. 

(2) All other decisions of the Board will be reached by 
a majority of the Board. 

History Note: .4 iithority U.S. 90-2 '0. 25: 90-2 '0. 26: 

Eff. February 1 . 19' 6: 

ReuJoptec! Eff. September 30. 19": 

.■imeiuleJ Eff. .Aimist L 1998: .April 1. 1989: May 1, 1988: 

December 30. 1985: October 28. 19'9. 

.0105 DEFINITIONS 

The follovviniz definitions and the definitions in G.S. 



90-270, 
(1) 



(2) 



(3) 
(4) 



24 will apply throughout Chapter 48: 

"Educational programs" means physical therapy and 
physical therapist assistant educational programs 
accredited by the Commission on Accreditation of 
Physical Therapy Education (CAPTE). 
"Computer Based Testing" or "CBT" means the 
Federation approved National Physical Therapist 
and Physical Therapist Assistant E,\aminations 
administered by a testing agency approved by the 
Federation. 

"Federation" means Federation of State Boards of 
Physical Therapy . 

"Graduated" or "graduation" means the completion 
of all requirements, including clinical experience, 
from an accredited program for physical therapists 
or physical therapist assistants. If an educational 
program certifies that the degree is assured and will 
be conferred at a later date, an applicant will be 
considered to have been graduated. 



(5) 


Reserved. 


(6) 


Reserved. 


(7) 


Reserved. 


(8) 


"PT exam" means a Federation approved licensing 




examination for phy sical therapists. 


(9) 


Reserved. 


(10) 


"PTA exam" means a Federation approved 




licensing examination for physical therapist 




assistants. 


(in 


Reserved. 


(12) 


Reserved. 


(13) 


Reserved. 



Histon'Note: .Authority- G.S. 90-2W.24: 90-2W.26: 

90-270.31: 

Eff. Februaiy 1. 1976: 

Readopted Eff. September 30, 1977: 

.Amended Eff. .Aiisust 1. 1998: November I. 1991: October 1. 

1989: .April 1. 1989: December 30. 1985. 

SUBCHAPTER 48C - SCOPE OF PHYSICAL 
THERAPY PRACTICE 

SECTION .0400 - PHYSICAL THERAPY AIDES 

.0401 DEFINITION 

Whenever any person not licensed in accordance w ith the 
provisions of the physical therapy practice act aids in the 
provision of physical therapy services under the supervision 
of a licensed physical therapist or physical therapist assistant, 
that person meets the definition of a physical therapy aide 
found in G.S. 90-270.24(5). 

HisloiyNote: .Aiitlinrit}- G.S. 90-2^0.24: 90-2-0.26: 
Eff .August 1. 1998. 

SUBCHAPTER 48D - EXAMIN.ATIONS 

SECTION .0100 - EXAMINATIONS 



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143 



APPROVED RULES 



.0102 SCHEDULE AND LOCATION OF 
EXAMINATION 

Examinations ma> be scheduled by the applicant throughout 
the year at sites designated b\ the testing agenc\ recognized 
b) the Federation. 

History Note: A ulhurity G. S. 90-2 '(). 26: 

Ejf. Febnian- 1. 1976: 

Readopted Eff. September 30. 19"': 

Amende J Eff. Ausust L 1998: December 30. 19,S5: October 

28. 1979. 

.0105 EXAMINATION SCORES 

(a) Passing Level. For examinations administered b\ the 
Professional Examination Service or Assessment Systems. 
Inc. prior to Jui> I. 1993. the passing level for the PT exam 
and the PTA exam shall be 1 .5 standard deviations below the 
national average for the raw score of the examination. The 
criterion-referenced passing point shall be equal to a scaled 
score of 600 based on a score range of 200 - 800 as adopted 
b\ the Federation of State Boards of Physical Therap\ on 
Februarv 2. 1993. 

(b) Transfer of Scores. Scores will be released as follows: 

( 1 ) To an indi\ idual who took the examination in North 
Carolina upon request and w ith no charge: 

(2 ) To licensing Boards in other states upon the request 
of the individual and the payment of the fee 
established in 21 NCAC 48F .0102(6): licensure 
infomiation may be included with the score release; 

(3 ) To other persons or institutions upon the request of 
the indiv idual. 

(c) Scores Related to Passing Level. Scores released to the 
individual will include the North Carolina passing le\el for the 
examination. 

Histon- Note: Authority- G.S. 90-21J.26: 90-2~0.33: 

Eff. Februaij 1. 19'' 6: 

Readopted Eff'. September 30. 19": 

Amended Eff. .iiismt L 1998: July 1. 1993: Norcmber I. 

1991: December 1. 1990: May 1. 1988. 

.0112 COMPUTER EXAMINATION 

The test will be a Computer Based Test (CBT) and will be 
administered b\ the National Testing Ser\ice recognized b\ 
the Federation. 

Histon- Note: Authorit^■ G.S. 90-2 "0.26: 90-2' 0.29: 90- 

270.30: 

Eff.Aiisust 1. 1998. 

SUBCHAPTER 48F - CERTIFICATES: FEES: 
INVESTIGATIONS: RECORD OF LICENSEES 

SECTION .0100 - CERTIFICATES: FEES: 
INVESTIGATIONS: RECORD OF LICENSEES 

.0102 FEES 

(a) The follow ina fees are charged b\ the Board: 



(1) application for physical therapist licensure: 

(A) by endorsement or examination taken in 
another state, one hundred dollars (SI 00.00); 

(B) b\ examination, one hundred dollars 
(SIOO.OO) plus cost of examination; 

(2) application for ph\sical therapist assistant 
licensure: 

(A) b\ endorsement or examination taken in 
another state, one hundred dollars (SIOO.OO); 

(B) b\ examination, one hundred dollars 
($100.00) plus cost of examination; 

(3) renewal for all persons. forr\ dollars (S40.00); 

(4) penalty for late renewal, twent) dollars (S20.00) 
plus renewal fee; 

(5) re\i\al of license lapsed less than five years, 
twenty-five dollars (S25.00) plus renewal fee; 

(6) transfer of licensure infomiation fee. including 
either the examination scores or licensure 
verification or both, tlfleen dollars (SI 5.00); 

(7) retake examination, thirty dollars ($30.00) plus 
actual cost of examination; 

(8) certificate replacement or duplicate, fifteen dollars 
($15.00); 

(9) director) of licensees, five dollars (S5.00); 

(10) computer print-out or labels of an\ portion of list of 
phNsical therapists. sixt> dollars ($60.00); 

(11) computer print-out or labels of an\ portion of list of 
physical therapist assistants. sixt> dollars ($60.00); 

(12) processing fee for returned checks, maximum 
allowed b\ law. 

(b) The application fee is not refundable. The Board shall 
consider written requests for a refund of other fees based on 
personal or economic hardship. 

(c) A certified check. mone\ order or cash is required for 
pa\ment of application fees listed in Paragraphs (a)(1)(A). 
(B). (C). (D). and (2)(A). (B). (C). and (D) of this Rule. 

History Note: Authority- G.S. 25-3-512: 90-2'0.33: 

Eff Februaiy 1. 19' 6: 

Readopted Eff. September 30. 19'": 

Amended Eff. Aiisiist L 1998: October 1. 1995: October I. 

1994: November 1. 1991: August 1. 1991. 

SUBCHAPTER 48G - RETENTION OF LICENSE 

SECTION .0200 - LAPSED LICENSES 

.0203 REVIVAL OF LAPSED LICENSE 

The following methods max be used to re\i\e a license: 

( 1 ) A license that has lapsed less than fl\e \ears ma\ be 
re\i\ed b\ pa_\ment of the re\i\al of lapsed license 
fee and the current \ ear's renewal fee and b> 
completion of the re\i\al fomi. 

(2 ) A license that has lapsed more than fl\ e > ears ma> 
be re\ i\ed b\ completion of the application forms, 
and: 

(a) passing the "PT exam" (if trained as a 
physical therapist) or the "PTA exam" (if 



144 



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(6) 

(7) 

(8) 
(9) 

(10) 



trained as a ph>sical therapist assistant); or 

(b) satisfactorily compiling at least 500 hours 

within the period of one year in the (3) 

following manner: between 50 and 200 class 

hours of course work (ie, refresher courses, (4) 

continuing education, pertinent college 

courses) approved by the Board as designed 

to demonstrate proficiencN in current 

physical therapy theory and practice and the (5) 

remaining hours working as an aide under 

the supervision of a licensed phvsical 

therapist, providing the Board shall authorize 

the training under the supervision of a 

licensed physical therapist and the 

supervising physical therapist accounts for 

the clinical hours; or 

(c) endorsement of a current license in another 
state as provided by 21 NCAC 48B .0102. 

HisloiyNote: Aiithoriry G.S. 90-2^0.26: 90-2''0.32: 

90-2 mSS: 

Eff. Fehniaiy I. 19'6: 

Readopted Eff. September 30. 1977: 

Amended Eff. .4imist I 199H: Aiigusi I. 1991: October 1. 

1989: .April 1. 1989: .May 1. 1988. 

SECTION .0400 - PROBATION OR WARNING 

.0404 NOTIFICATION AND HEARING 

(a) An\ licensee subject to being placed on probation or 
receiving a warning will be notified of the alleged acts or (II) 
conduct warranting the intended action, and such licensee 

shall be given an opportunity for an infomial meeting with the 

Board to show why the licensee should not be placed on (12) 

probation or receive a warning. Provided. hov\ever. nothing 

herein shall limit a licensee's right to request a contested case (13) 

hearing. 

(b) Before a reprimand is issued to a licensee, the licensee (14) 
ma> request an informal meeting with the Board to show wh\ 

the licensee should not recei\e a reprimand. (15) 

History Note: .Authority G.S. 90-2 '0.26: 90-21J.35: 
90-2^0.36: (16) 

Eff October 28. 1979: 
Amended Eff August l 1998: May 1. 1 989. 

SECTION .0600 - DISCIPLINARY ACTION 

(17) 
.0601 PROHIBITED ACTIONS 

(a) Behaviors and activities which may result in (18) 

disciplinary action b> the Board pursuant to G.S. 90- 
270.36( I ), (6), (7). (8) and (9) and G.S. 90-270.35(4) include, 
but are not limited to. the following: 

(1) recordingfalseorinisleading data, measurements or (19) 
notes regarding a patient; 

(2) delegating responsibilities to a person when the (20) 
licensee delegating knows or has reason to know 

that the competency of that person is impaired by 



physical or psvchological ailments, or by alcohol or 

other phamiacological agents, prescribed or not; 

practicing or offering to practice beyond the scope 

permitted by law; 

accepting and performing professional 

responsibilities which the licensee knows or has 

reason to know that he or she is not competent to 

perfonn; 

perfonning, without adequate supervision, 

professional services which the licensee is 

authorized to perform onh under the supervision of 

a licensed professional, except in an emergency 

situation where a person's life or health is in danger; 

harassing, abusing, or intimidating a patient either 

physically or verbalK; 

failure to exercise supervision over persons who are 

authorized to practice only under the supervision of 

the licensed professional; 

exercising undue influence on the patient, with 

respect to recommending unnecessary treatment, 

supplies, or equipment; 

directlv' or indirecth offering, giving, soliciting, or 

receiving or agreeing to receive, an> fee or other 

consideration to or from a third party for the 

referral of a client: 

failui'e to file a report, filing a false report or 

failure to respond to an inquir\ within 30 days, 

required b> law or b\ the Board, or impeding or 

obstructing such filing or inducing another person 

to do so; 

revealing identifiable data, or infonnation obtained 

in a professional capacity, without prior consent of 

the patient, except as authorized or required bv law; 

guaranteeing that a patient will benefit from the 

performance of professional services; 

altering a license or renewal card by changing any 

other information appearing thereon; 

using a license or renewal card which has been 

altered; 

permitting or allow ing another person to use his or 

her license or renewal card for the practice of 

phvsical therapy; 

delegating professional responsibilities to a person 

when the licensee delegating such responsibilities 

knovss or has reason to know that such a person is 

not qualified by training, by experience, or by 

licensure to perform such responsibilities: 

violating any term of probation, condition, or 

limitation imposed on the licensee bv the Board; 

kissing, fondling, touching or engaging in anv 

activities, advances, or comments of a sexual nature 

with anv person v\ ith w hom the licensee interacts in 

practicing phvsical therapy: 

billing or charging for services or treatment not 

perfomied; 

making treatment recommendations or basing a 

patient's continued treatment on the extent of third 

party benefits instead of the patient's condition: 



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APPRO\ ED RULES 



(21) willfull) or intentionalK communicating false or 
misleading infomiation regarding a patient; 

(22) harassing, abusing, or intimidating an\ person, 
either physicalK or \erball\. in the presence of a 
patient; 

(23) using a form of a license or renewal card that was 
not issued b\ the Board or is not current. 

(b) When a person licensed to practice ph_\sical therap\ is 
also licensed in another jurisdiction and that other Jurisdiction 
takes disciplinary action against the licensee, the North 
Carolina Board of Ph\sical Therap\ Examiners ma\ 
summarih impose the same or lesser disciplinan.- action upon 
receipt of the other Jurisdiction's actions. The licensee ma> 
request a hearing. Ax the hearing the issues shall be limited to: 

( 1 ) whether the person against whom action was taken 
b\ the other Jurisdiction and the North Carolina 
licensee are the same person; 

(2) whether the conduct found b> the other Jurisdiction 
also \iolates the North Carolina PhNsical Therapx 
Act; and 

(3) whether the sanction imposed b\ the other 
Jurisdiction is lawful under North Carolina law. 

(c) in accordance with G.S. 150B-3(c) a license ma\ be 
summarih suspended if the public health, safety, or welfare 
requires emergencN action. This detemiination is delegated to 
the Chairman or E.\ecuti\e Director of the Board pursuant to 
G.S. 90-270.26(8). Such a finding shall be incorporated with 
the order of the Board of Physical Therap\ Examiners and the 
order shall be effectixe on the date specified in the order or on 
ser\ice of the certified cop\ of the order at the last known 
address of the licensee. whiche\er is later, and continues to be 
effective during the proceedings. Failure to recei\ e the order 
because of refusal of service or unknown address does not 
invalidate the order. Proceedings shall he commenced 
promptK. 

(d) When the Board receives a notice from a Clerk of 
Superior Court that the license of a phvsical therapist or a 
phvsical therapist assistant has been forfeited pursuant to 
G.S. 15 A- 1331. A. the licensee shall be required to surrender 
the license to the Board immediatelv and not to engage in the 
practice of physical therapv during the period of forfeiture. 
Forfeiture under this section shall not limit in an\ v\av the 
Board's authority to take further disciplinarv action against the 
licensee in accordance with the Board's rules. 



office subject to policies and directives as established b> the 
full Board or these rules. The secretan. mav assign to the 
executive secretan' those da%-to-da\ administrative and 
operational duties as are appro\ed bv majoritv vote of the full 
Board. Authorization bv the secretary for the disbursement of 
funds bv the executiv e secretan, must be in writing and hav e 
the unanimous approval of the Board. 

(b) Board Committees. The Board shall be organized into 
an engineering committee and a land survev ing committee. 
The engineering committee shall consist of the four engineer 
members and one public member. The land survev ing 
committee shall consist of the three land surveyor members 
and one public member. The Board chairperson shall appoint 
the chairperson of each committee and appoint the public 
member to each committee. 

(c) Executive Secretary. The da>-to-dav operations of the 
Board office shall be the responsibilitv of the executive 
secretarv under the direction of the secretan. subject to 
policies and directives as established bv the Board or these 
rules. The executiv e secretary mav be authorized bv the Board 
or the secretary to represent the Board before professional or 
governmental organizations when such representation serv es 
to further and support the purposes of the Board and is made 
within the expressed policies of the Board or these Rules. 

Hisioiy Xore: A uthorin- G. S. 89C-4 through S9C- 1 1 : 

Eft: February 1 . 19~6: 

Readopied Eff. September 29. 19": 

Amended Eff. August 1. 199S: April 1. 1989: Jcmuaiy 1. 1982. 

SECTION .0400 - RECORDS AND REPORTS OF 
BOARD: RETENTION AND DISPOSITION 

.0401 RECORDS OF BOARD PROCEEDINGS 

Records of all proceedings of the Board such as rule- 
making proceedings, declarator}, rulings and contested cases 
and all other pennanent records are retained at the office of 
the Board and are not disposed of or mav be transferred to the 
Department of Cultural Resources. 

Histoiy .\ote: Authorm- G.S. S9C-10lai: 89C-12: 

Eft: Fehruaiy 1 . 19' 6: 

Readopted Eff. September 29. 19": 

.Amended Ett: .August 1. 199S: .April 1. 1989: Januaiy 1. 1982. 



Histoiy \ote: Auiliorit}- G.S. L\A-133!A: 90-2'0.24: 90- 

2~0.26: 90-2~0.35l4i: 9(l-2'0.36: I50B-3: 

Eff. October 1. 1995: 

Amended Eff. August I 1998: February I. 1996. 

CHAPTER 56 - BOARD OF PROFESSIONAL 
ENGINEERS AND LAND SLR\ EVORS 



.0403 APPLICATION FILES 

Histoiy Xote: Authority G.S 89C-10<al: 89C-12: 

Eff. Februaiy 1 . 19-6: 

Readopted Eff: September 29. 19": 

Amended Eff May 1. 1994: April I. 1989: Januaiy 1. 1982: 

Repealed Eft. August L I99S. 



SECTION .0100 - ORGANIZATION OF BOARD 



SECTION .0500 - PROFESSIONAL ENGINEER 



.0103 ORGANIZATION 

(a) Secretary. The secretarv elected bv the Board has final 
authority and responsibility in the operation of the Board 



.0501 REQUIREMENT FOR LICENSING 

(a) Education. The education of an applicant shall be 
considered in determining eliiiibilit^ for licensina as a 



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July I, 1998 



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Professional Engineer. The following terms used by the 
Board for the specific educational requirements to be eligible 
to be licensed as a Professional Engineer are defined by the 
Board as follows: 

(1) Engineering Curriculum of Four or more Years 
Approved by the Board is defined as a curriculum 
that has been accredited by the Accreditation Board 
for Engineering and Technolog> (ABET). This 
curriculum is incorporated by reference including 
subsequent amendments and editions. This material 
is available for inspection at the office of the North 
Carolina State Board of Registration for 
Professional Engineers and Land Surve\ors. 3620 
Six Forks Road, Suite 300, Raleigh, North Carolina 
27609. Copies ma\' be obtained at the Board office 
at a cost of five dollars (S5.00) per cop\ . 

(2) Engineering or Related Science Curriculum of Four 
or more Years Other than Ones Approved by the 
Board is defined as a curriculum, although not 
accredited by ABET, of phvsics. math, chemistry 
and engineering technologv which contains 
engineering or scientific principles. 

(3) Equivalent Education Satisfactory to the Board: 

(A) A bachelor's degree in Engineering 
Technolog>' shall be considered equivalent to 
an engineering or related science curriculum 
of four or more years other than one 
approved by the Board. 

(B) An associate degree in an engineering related 
curriculum with an additional two \ears of 
progressive engineering experience shall be 
considered equi\alent to an engineering or 
related science curriculum of four or more 
years other than one approved by the Board. 

(C) A high school diploma with an additional 
four years of progressive engineering 
experience shall be considered equi\alent to 
an engineering or related science curriculum 
of four or more \ears other than one 
appro\ed b\ the Board. 

(D) Foreign degrees ma\ be considered as 
recommended b\ the National Council of 
Examiners for Engineering and Surveying 
(NCEES) in its publications: provided 
however, maximum equi\alenc\ granted 
shall be that of an engineering or related 
science curriculum of four or more years 
other than one appro\ ed b\ the Board. The 
NCEES publications are incorporated b\ 
reference including subsequent amendments 
and editions. This material is available for 
inspection at the office of The North 
Carolina State Board of Registration for 
Professional Engineers and Land Surveyors. 
3620 Six Forks Road. Suite 300. Raleigh. 
North Carolina 27609. Copies may be 
obtained at the Board's office at a cost of 
five dollars (S5.00) per cop\ 



(b) Experience: 

(1) General. The experience of an applicant shall be 
considered in determining whether an applicant is 
eligible to be licensed as a Professional Engineer. 

(2) Required Experience. In evaluating the work 
experience required the Board may consider the 
total experience record, and the progressive nature 
of the record. (Not less than half of required 
engineering experience shall be of a professional 
grade and character, and shall be perfomied under 
the responsible charge of a registered Professional 
Engineer.) 

(3) Definition. The terms "progressive engineering 
experience" or "progressive experience on 
engineering projects" mean that during the period 
of time in which an applicant has made a practical 
utilization of acquired knowledge, continuous 
improvement, growth and development have been 
shown in the utilization of that knowledge as 
revealed in the complexity and technical detail of 
the work product or work record. The applicant 
must show continuous assumption of greater 
individual responsibility for the work product over 
that period of time. 

(4) Specific Credit for Experience. In evaluating 
progressive engineering experience, the Board may 
give credit for experience in the following areas of 
work: 

(A) Graduate schooling or research in an 
approved engineering curriculum - maximum 
two years: 

(B) Progressive land surveying - maximum two 
years; 

(C) Teaching of science or engineering subjects 
at the graduate level in an approved 
engineering curriculum - maximum two 
years. 

(5) Experience Not Considered: 

(A) Experience obtained prior to graduation 
while receiving education for which credit is 
given toward registration, unless such 
experience is obtained in a co-op program in 

■ an engineering curriculum approved bv the 
Board. 

(B) Experience obtained in a foreign country 
unless performed under direct supervision of 
a Professional Engineer registered with a 
member Board of the National Council of 
Examiners for Engineering and Surveying 
(NCEES). 

Histoiy Note: Authority G.S. 89C-1Q: 89C-I3: 

Efj: Fehniaiy I. 19^6: 

Readopted Eff. September 29. I9''7: 

Amended Eff. Ausiist i 1998: Novemher 2. 1992: April I. 

1989: January I. 1982. 

.0502 APPLICATION PROCEDURE: INDIVIDUAL 



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147 



APPROVED RLLES 



(a) General. A person desiring to become licensed as a 
Professional Engineer must make application to the Board on 
a form prescribed and furnished b\ the Board. 

(b) Request. A request for an appropriate application form 
ma\ be made at the Board address. 

(c) Applicable Forms: 

( 1 ) Student Form. This form requires the applicant to 
set forth personal histors. educational background. 
proN'ide character references, and furnish a 
photograph for identification purposes. The form 
is for use b\ those graduating, or those ha\ing 
graduated, from an engineering curriculum 
appro\ed b\ the Board as follows: 

(A) Students graduating in the same semester or 
quarter in which the fundamentals of 
engineering examination is administered. 

(B| Graduates with less than two \ears since 
graduation. 

(2) Professional Engineer Form: 

(A ) All persons, including comir\ applicants and 
graduates of an engineering curriculum 
appro\ed b\ the Board with more than two 
>ears progressi\e engineering experience, 
shall appK for registration b% using the 
Professional Engineer fonm. The submission 
of this form shall signitA that the applicant 
seeks registration, and will result in seating 
for each examination required, when the 
applicant is so qualitled. This form requires 
the applicant to set forth personal and 
educational background. engineering 
experience and character references. A 
passport-t\pe photograph for identification 
purposes is required. 

( B ) Persons w ho ha\ e pre\ iousK completed the 
fundamentals examination b\ use of the 
Student Form shall submit the Professional 
Engineer Form to request registration when 
qualified to take the final eight-hour 
examination. 

(3) Supplemental Form. Persons who initialK applied 
for the fundamentals of engineering exam using the 
Professional Engineer form must supplement the 
initial application upon appKing for the principles 
and practice examination. The supplemental fomi 
requires that engineering experience from the date 
of the initial application until the date of the 
supplemental application be listed. Fi\ e references 
shall be submitted w hich are current to w ithin one 
\ear of the examination date. 

(4) Reference Forms: 

(A } Persons appK ing to take the examination for 
fundamentals of engineering must submit to 
the Board names of three indi\ iduals who 
are familiar with the applicant's work, 
character and reputation. Persons appK ing to 
take the examination for principles and 
practices of engineering must submit to the 



Board names of f1\e indi\iduals who are 
familiar w ith the applicant's w ork. character 
and reputation. Two of these indi\ iduals 
must be registered Professional Engineers. 

(B) In addition to the applicant submitting names 
to the Board of indi\ iduals familiar with the 
applicant's work, character and reputation, 
those indi\iduals listed shall submit to the 
Board their e\aluations of the applicant on 
forms supplied them b> the applicant. Such 
information is considered confidential and 
shall not be released b\ the Board. 

(C) The reference form requires the indi\idual 
e\aluating the applicant to state the 
evaluating indiNidual's profession, 
knowledge of the applicant and other 
information concerning the applicant's 
engineering experience, character and 
reputation. 

(D) The reference forms shall be recei\ed b\ the 
applicant w ith the application. The reference 
forms shall then be distributed b\ the 
applicant to the persons listed on the 
application as references. The applicant 
shall see that the indi\iduals listed as 
references return the reference forms to the 
Board prior to the filing deadline for the 
examination. 

(di Fees: 

(1) Student Form. The examination fee for applicants 
appl\ing for examination on the fundamentals of 
engineering using the student form is pa\ able w ith 
the filing of the application. Once the applicant 
passes the examination on the fundamentals of 
engineering, the registration fee of one hundred 
dollars (SI 00.00) and the examination fee for the 
principles and practice of engineering examination 
are payable with the applicant's subsequent 
application for registration as a Professional 
Engineer using the Professional Engineer form. 

(2) Professional Engineer Form. The registration fee 
of one hundred dollars (SI 00.00) and appropriate 
examination fee for applicants appKing for the 
examination on the fundamentals of engineering or 
the principles and practice of engineering using the 
Professional Engineer form are payable with the 
filing of the application. 

(3) Comin. The registration fee for applicants for 
comit\ registration is paxable with the tiling of the 
application in accordance with G.S. 89C-I4. 

(4) Examination. The examination fee for an\ 
applicant is payable with the filing of the 
application in accordance with G.S. 89C-14. 

(e) The Board shall accept the records maintained b\ the 
National Council of Examiners for Engineering and Sur\e\ing 
(NCEES) as e\idence of registration in another state. 

History \ote: Aiahorin G.S. S9C-10: 89C-I3: 89C-14: 



148 



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July L 1998 



13:1 



APPROVED RULES 



Eft: Fehruaiy 1. 1976: 

Readopted Eff. September 29. 1977; 

Amended Effi May- 1, 1994: November 2, 1992: April 1. 1989: 

December 1. 1984: 

RRC Objection due to lack of Slatiitoiy Authority Eff. 

November 17, 1994: 

Amended Eff. August L 1998: January 1. 1995. 

.0503 EXAMINATIONS 

(a; Fundamentals of Engineering. This eight-iiour written 
examination is designed primarily to test the applicant's 
proficiency and knowledge of the fundamentals of 
engineering. 

(b) Principles and Practice of Engineering. This eight-hour 
written examination is designed to test the applicant's 
proficiencx and knowledge of engineering principles and 
practices. 

(c) Examination Aids. Examinees may utilize examination 
aids as specified b\ the exam preparer. 

(d) Preparation of Examination. The examinations in the 
fundamentals of engineering and in the principles and practice 
of engineering are national examinations promulgated b\ the 
National Council of Examiners for Engineering and Surve\ ing 
(NCEES) of which the Board is a member. 

(e) Examination Sequence. Before the applicant is 
permitted to be examined on the principles and practice of 
engineering, the applicant must pass the examination on the 
fundamentals of engineering, unless the applicant can 
e\ ;dence 20 years of progressive engineering experience and 
receives a waive ft"om the fundamentals of engineering exam 
bv the Board. In no event is an applicant allowed to take both 
examinations at the same time or at the same scheduled 
examination date. 

(f) Examination Filing Deadline. The applicant vsho 
wishes to take an examination must have the completed 
application (which includes all necessan. references, 
transcripts, and verifications) in the Board office prior to 
August 1 for Fall examinations and Januarv' 2 for Spring 
examinations. 

(g) Seating Notice. After approval of an application to take 
either the examination on the fundamentals of engineering or 
principles and practice, the applicant shall be sent a seating 
notice bv the Board. This notice shall inform the applicant of 
the date, time and location of the examination and the seat 
number assigned. 

(h) Unexcused Absences. After a seating notice has been 
issued for a scheduled examination bv the Board, and the 
applicant fails to appear, that applicant's record will reflect 
"unexcused absence" unless the absence was for official jury 
duty or the applicant was not ph> sicallv able to be present, as 
indicated bv a doctor's certificate. 

(i) Oral Interview. During the examination on the 
principles and practice of engineering, the applicant mav be 
intervievsed bv Board members. The purpose of the interview 
is to augment the evidence submitted in an application with 
regard to education or experience. 

(j) Re-Examination. A person who has failed an 
examination mav appK to take the examination again at the 



next regularly scheduled examination period by making 
written request and submitting the required exam fee. A 
person having a combined record of three failures or 
unexcused absences shall not be allowed to take that 
examination again until a written appeal is made to the Board 
and qualifications for examination are reviewed and 
reaffirmed by the Board. The applicant must demonstrate to 
the Board that actions have been taken to improve the 
applicant's chances for passing the exam. 

History Note: A utiiority G. S. 89C- 1 0: 89C- 1 3 to 89C- 1 5: 

Eff: February 1. 1976: 

Readopted Eff September 29. 19^7: 

.Amended Eff. August f 1998: November 2. 1992: .April 1. 

1989: January 1. 1982. 

.0505 EXPIRATIONS AND RENEWALS OF 
CERTIFICATES 

(a) Professional Engineer Registration. An annual renewal 
fee of fortv dollars ($40.00) for certificates of registration for 
Professional Engineers shall be pavable to the Board. The 
Board shall send to each registered Professional Engineer a 
form which requires the registrant to provide the Board with 
both the business and residential addresses. The completed 
form for renewal of certificate along with the required fee 
shall be forvsarded to the Board. 

(b) Engineer-In-Training Certificate. The 
Engineer-In-Training certificate does not expire and, 
therefore, does not have to be renewed. 

History Note: Aulhoriy G.S 89C-1U: 89C-17: 

Eff Februaiy 1. 19' 6: 

Readopted Eff September 29. 1977; 

Amended Eff. August f 1998: May /, 1994: April 1. 1989: 

January 1. 1982. 

SECTION .0600 - LAND SURVEYOR 

.0601 REQUIREMENT FOR LICENSING 

(a) Education. The follow ing terms used by the Board for 
the specific education requirements to be eligible to be 
licensed as a Registered Land Survevor are defined bv the 
Board as follows: 

( 1 ) B.S. in Surveving or Other Equivalent Cuiricula. 
These degrees must contain a minimum of 45 
semester hours, or their quarter-hour equivalents, of 
subjects directiv related to the practice of survev ing. 
Of the 45 semester hours, a minimum of 12 
semester hours of surveying fundamentals. 12 
semester hours of applied surveying practice and 12 
semester hours of advanced or theoretical survev ing 
courses are required. The remainder of the required 
surveving courses may be elective-tjpe courses 
directiv related to surveying. 

(2) Associate Degree in Survev ing Technology. This 
degree must contain a minimum of 30 quarter 
hours, or semester-hour equivalents, of subjects 
directiv related to the practice of surveying. 



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149 



APPROVED RULES 



Courses in sur\e>ing practices. subdi\ ision design 
and planning, surface drainage and photogrammen^ 
must be successfulN completed. 

(b) Experience: 

(1) Definition. As used in the North Carolina 
Engineering and Land Sur\e\ing .Act the term 
"progressi\ e practical sur\ e\ ing experience" means 
that during the period of time in which an applicant 
has made a practical utilization of the knowledge of 
the principles of geometp. and trigonometn. in 
determining the form, boundaries, position and 
extent of the earth's surface, continuous 
improvement, growth and development in the 
utilization of that knowledge ha\e been shown. In 
addition, the applicant must show the continuous 
assumption of greater individual responsibility for 
the work product o\ er that period of time. 

(2) Experience .Accepted. In order to ha\ e experience 
adequate to compK with the requirements of the 
law. the applicant's work experience must be 
concerned with land sur\e\ing and is normalK 
gained while working under the responsible charge 
of a Registered Land Sur\e\or. 

(3) Other Experience. Work done in the following 
areas requires evidence to the Board of its 
equivalencv to land surveving: 

(A) construction lav out. 

(B) engineering surveving. 

(C) part-time survev ing work. 

(c) Exhibits. Drawings. Plats: 

(1) Required Exhibit Before Fundamentals oi Land 
Surveving Examination. The applicant must 
submit, along with the application, an actual plat or 
an example plat which discloses that the applicant 
is knowledgeable in the elements of good mapping 
practices. 

(2 ) Required Exhibit Before Principles and Practices of 
Land Surveving Examination: 

(A) General. The applicant must submit, along 
with the application, an actual plat of a 
boundarv survev of an actual project which 
discloses that the applicant is know ledgeable 
of the contents of the Standards of Practice 
for Land Surveving in North Carolina 
(Section .1600) and also is able to appK this 
knov\ ledge bv preparing a plat in accordance 
with the various legal and professional 
requirements of land surveving. 

(B) Phvsical Requirement. The map submitted 
must be a clean, clear, legible print of an 
original map in the file of a Registered Land 
Survev or. 

(3) Specific Requirements. The specitlc details that 
sliall be evaluated are those applicable to the 
particular project as described in the Standards of 
Practice for Land Surveving in North Carolina 
(Section .1600) and as described in G.S. 47-30. In 
addition, the exhibit shall contain a statement that 



the field work, calculation and mapping were 
performed bv the applicant under the superv ision of 
a Registered Land Survevor. attested to bv the 
Registered Land Survev or. 
(4) Requirements for Comitx Applicant. The map 
submitted bv an applicant under comitx mav be a 
sample plat of a project or work performed in the 
state of registration v\hich shall be evaluated in 
accordance with legal requirements of North 
Carolina. 

Histoiy Sole: Aurhorin- G.S. 4~-30: 89C-10: 89C-13: 

Eff. Fehruaij 1. 19' 6: 

Readopred Eft'. September 29. 19' ': 

Amended Eff. Aiisust I 1998: \ovemher 2. 1992: April 1. 

1989: December 1. 1984: Jamiaij 1. 1982. 

.0602 APPLICATION PROCEDURE: INDIVIDUAL 

(a) General. A person desiring to become a Registered 
Land Survevor must make application to the Board on a form 
prescribed and furnished bv the Board. 

(b) Request. .A request for the application form mav be 
made at the Board address. 

(c) .Application Form. All persons appK ing to be licensed 
as a Registered Land Sunevor shall appiv using the standard 
application form. This fomi requires the applicant to set forth 
personal background, plus educational background, land 
surveving experience, and references. .A passport-tv pe 
photograph for identification purposes is required also. 

(d) Supplemental Form. Persons who initiallv applied for 
registration as a land survevor. but v\ere not eligible initiallv 
to be admitted to the examination for principles and practice 
of land surveving. must supplement their initial applications 
upon ultimately applving for the second examination. The 
applicant must supplement the initial application bv using the 
supplemental fomi. which requires the listing of land 
sur\ e_v ing experience from the date of the initial application to 
the date of the supplemental application. Five references shall 
he submitted which are current to v\ithin one vear of the 
examination date. 

(e) Reference Forms: 

( 1 ) Persons appIv ing to take the examination for the 
fundamentals of land surveving or the examination 
for principles and practice must submit to the Board 
names of individuals who are familiar with the 
applicant's work, character and reputation. The 
names are submitted bv the applicant on the 
application form. 

(2) Persons applving for the fundamentals of land 
surveving examination must submit three 
references, one of which must be a Registered Land 
Surv evor. Persons applv ing for the principles and 
practice examination must submit five references, 
r^vo of vshich must be Registered Land Survevors. 

(3 ) In addition to the applicant submitting names to the 
Board of such individuals, those individuals shall 
submit to the Board their evaluations of the 
applicant on reference forms supplied them bv the 



15(1 



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July /. 1998 



13:1 



APPROVED RULES 



applicant. Such information is considered 
confidential and shall not be released by the Board. 

(4) The reference form requires the individual 
evaluating the applicant to state the evaluating 
individual's profession, knowledge of the applicant 
and other infonnation concerning the applicant's 
land survev ing experience, character and reputation. 

(5) The reference forms shall be received by the 
applicant along with the application for registration. 
The reference forms shall then be distributed bv the 
applicant to the persons listed on the application as 
references. The applicant shall see that the 
individuals listed as references return the forms to 
the Board prior to the tiling deadline for the 
examination applied for b\ the applicant. 

(f) Fees: 

(1) Regular. The registration fee of one hundred 
dollars ($100.00) and appropriate examination fee 
for those appKing for registration based upon 
examination, experience, character and exhibit are 
pavable with the filing of the application. 

(2) Comit\ . The registration fee of one hundred dollars 
($100.00) and appropriate examination fee forthoe 
appKing for registration based upon comity are 
pavable w ith the tiling of the application. 

(3) Examination. The examination fee for anv 
applicant is payable with the filing of the 
application in accordance with G.S. 89C-14. 



transcripts, and verifications) in the Board office prior to 
August 1 for Fall examinations and Januarv 2 for Spring 
examinations. 

(f) Seating Notice. After approval of an application the 
applicant will receive a seating notice. This notice will inform 
the applicant of the date, time and location of the examination 
and the seat number assigned. 

(g) Unexcused Absences. After a seating notice for a 
scheduled examination has been issued bv the Board, and the 
applicant fails to appear, the applicant's record will reflect 
"unexcused absence" unless the absence was for official jury 
dutv or the applicant was not physicallv able to be present, as 
indicated bv a doctor's certificate. 

(h) Oral Interview. During the examination on the 
principles and practice of land surveying, the applicant may be 
interviewed bv Board members. The purpose of the interview 
is to augment the evidence submitted in an application with 
regard to education or experience. 

(i) Re-Examination. A person who has failed an 
examination is allowed to apply to take the examination again 
at the next regularly scheduled examination period. A person 
having a combined record of three failures or unexcused 
absences will not be allowed to take that examination again 
until a written appeal is made to the Board and the 
qualifications for examination are reviewed and reaffirmed by 
the Board. The applicant must demonstrate to the Board that 
actions have been taken to improve the applicant's chances for 
passing the exam. 



Histoiy Note: Authority G.S. 89C-I0: 89C 13: H9C-I4: 

Eff. Febniaiy ! . 19^6: 

Readopied Eff. September 29. 19^7: 

Amended Eff. .4imist L 1998: Mo}- 1. 1994: April I. 1989: 

Januarv 1. 1982. 



History Note: Authority G.S. 89C-10: 89C-I5: 

Eff: Fehruaiy 1. 19-6: 

Readopied Eff. September 29. 1977: 

Amended Eff. August L 1998: November 2. 1992: April 1. 

1989: JanuaiT 1. 1982. 



.0603 E.XAMINATIONS 

(a) Fundamentals of Land Survev ing. This eight-hour 
written examination is designed primarily to test the 
applicant's proficiencv and knov\ ledge of the fundamentals of 
land surveying. 

(b) Principles and Practice of Land Surveying. This 
eight-hour v\ritten examination is designed to test the 
applicant's proficiencv and knowledge of land surveving 
practices and procedures generallv and specificallv within 
North Carolina. 

(c) Examination Aids. Examinees ma> utilize examination 
aids as specified bv the national exam preparer. 

(d) Preparation of Examination. The examination in the 
fundamentals of land surveying and six hours of the 
examination in the principles and practice of land survev ing 
are national examinations promulgated bv the National 
Council of Examiners for Engineering and Surveving 
(NCEES) of which the Board is a member. The two-hour 
North Carolina portion of the principles and practice of land 
survev ing examination is prepared and graded b\ the Board. 

(e) Examination Filing Deadline. The applicant v\ho 
wishes to take an examination must have the completed 
application (which includes all necessaiy references. 



SECTION .0700 - STANDARDS OF PROFESSIONAL 
CONDUCT 

.0701 RULES OF PROFESSIONAL CONDUCT 

(a) In order to safeguard the life, health, propertv and 
welfare of the public and to establish and maintain a high 
standard of integrity, skills, and practice in the profession of 
engineering and land surveying, the following rules of 
professional conduct are promulgated in accordance w ith G.S. 
89C-20 and shall be binding upon everv person holding a 
certificate of registration as a Professional Engineer or 
Registered Land Surveyor (registrant), and on all partnerships 
or corporations or other legal entities authorized to offer or 
perform engineering or land surveying services in this state. 
All persons registered under the provisions of Chapter 89C of 
the General Statutes are charged with having knowledge of the 
existence of the rules of professional conduct, and shall be 
deemed to be familiar with their several provisions and to 
understand them. 

(b) The Professional Engineer and Registered Land 
Surveyor shall conduct the practice in order to protect the 
public health, safetv and welfare. 

The registrant shall at all times recognize the primary 



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obligation to protect the public in the performance of the 
professional duties. If the registrant's engineering or land 
surveying judgment is overruled under circumstances where 
the safet\. health and welfare of the public are endangered, the 
registrant shall infomi the emplo\er. the contractor and the 
appropriate regulator}' agenc\ of the possible consequences of 
the situation. 

(c) The Professional Engineer and Registered Land 
SurveNor shall perform ser\ices onK in areas of the 
registrant's competence and: 

(1) Shall undertake to perform engineering and land 
surve\ing assignments only when qualified b\ 
education or experience in the specific technical 
field of professional engineering or land surveying 
involved. 

(2) Ma\ accept an assignment requiring education or 
experience outside of the registrant's own field of 
competence, but onK to the extent that the services 
are restricted to those phases of the project in which 
the registrant is qualified. All other phases of such 
project shall be performed b\ qualified associates, 
consultants, or emplo_\ees. 

(3 1 Shall not affix the signature or seal to an\ 
engineering or land sur\e>ing plan or document 
dealing w ith subject matter for which the registrant 
lacks competence b% \irtue of education or 
experience, nor to an> such plan or document not 
prepared under the registrant's direct super\isorv 
control. Direct super\isop. control (responsible 
charge) requires a registrant or emploxee to carrv 
out all client contacts. pro\ide internal and external 
financial control. o\ersee emplo\ee training, and 
exercise control and super\ision o\er all job 
requirements to include research, planning, design, 
field super\ision and work product re\iew. A 
registrant shall not contract with a non-registered 
individual to provide these professional services. 
Research, such as title searches and soil testing. 
ma\' be contracted to a non-registered indiv idual. 
provided that indiv idual is qualified or licensed to 
provide such serv ice and provided the registrant 
reviews the work. The Professional Engineer and 
Registered Land Survevor mav affix the seal and 
signature to drawings and documents depicting the 
work of two or more professionals provided it is 
designated b\ a note under the seal the specific 
subject matter for which each is responsible. 

(d) The Professional Engineer and Registered Land 
Survevor shall issue public statements onlv in an objective and 
truthful manner and: 

(1) Shall be objective and truthful in all professional 
reports, statements or testimonv. The registrant 
shall include all relevant and pertinent infomiation 
in such reports, statements or testimonv . 

(2) When serving as an expert or technical witness 
before anv court, commission, or other tribunal, 
shall express an opinion onlv when it is founded 
upon adequate knov\ledge of the facts in issue. 



upon a background of technical competence in the 
subject matter, and upon honest conviction of the 
accuracy and propriety of the registrant's testimony. 

(3) Shall issue no statements, criticisms, or arguments 
on engineering or land survev ing matters connected 
with public policy which are inspired or paid for by 
an interested partv . or parties, unless the registrant 
has prefaced the comment bv explicitlv identifying 
the registrant's name. b> disclosing the identities of 
the partv or parties on whose behalf the registrant is 
speaking, and b\ revealing the existence of anv 
pecuniar} interest the registrant mav have in the 
instant matters. 

(4) Shall not attempt to injure. maliciousK or falselv. 
directly or indirectlv. the professional reputation, 
prospects, practice or emplovment of another 
engineer or land survevor. nor indiscriminatelv 
criticize another engineer or land sunevor's work in 
public. If the registrant believes that another 
engineer or land surveyor is guilty of misconduct or 
illegal practice, such information shall be presented 
to the North Carolina State Board of Registration. 

(e) The Professional Engineer and Registered Land 
Survevor shall avoid conflicts of interest and: 

(1) Shall promptlv inform the emplover or client of anv 
business association, interests, or circumstances 
which could influence judgment or the qualitv of 
services. 

(2) Shall not accept compensation, financial or 
otherv\ ise. fi"om more than one partv for serv ices on 
the same project, or for services pertaining to the 
same project, unless the circumstances are fullv 
disclosed to. and agreed to. bv all interested parties. 

(3) Shall not solicit or accept financial or other 
valuable considerations from material or equipment 
suppliers for specifv ing their products. 

(4) Shall not solicit or accept gratuities, directlv or 
indirectlv. from contractors, their agents, or other 
parties dealing with the client or emplover in 
connection with v\ork for which the registrant is 
responsible. 

(5) When in public service as a member, advisor, or 
einplovee of a governmental bodv or department, 
shall not participate in considerations or actions 
with respect to services provided bv the registrant 
or the registrant's organization in private 
engineering and land survev ing practices. 

(6) Shall not solicit or accept an engineering or land 
surveving contract from a governmental bodv on 
which a principal or officer of the registrant's 
organization serves as a member. 

(7) Shall not attempt to supplant another engineer or 
land survevor in a particular emplovment after 
becoming aw are that the other has been selected for 
the emplov ment. 

(f) The Professional Engineer and Registered Land 
Survevor shall solicit or accept v\ork onlv on the basis of 
qualifications and: 



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(1) Shall not offer to pay, either directly or indirectly, 
any commission, political contribution, gift, or 
other consideration in order to secure work, 
exclusive of securing salaried positions through 
employment agencies. 

(2) Shall compete for employment on the basis of 
professional qualification and competence to 
perform the work. The registrant shall not solicit or 
submit proposals for professional services 
containing a false, fi^audulent, misleading, deceptive 
or unfair statement or claim regarding the cost. 
qualitN or extent of services to be rendered. 

(3) Shall not falsify or permit misrepresentation of 
academic or professional qualifications. The 
registrant shall not misrepresent degree of 
responsibilitN in or for the subject matter of prior 
assignments. Brochures or other presentations 
incident to the solicitation of employment shall not 
misrepresent pertinent facts concerning emplojers, 
employees, associates, joint ventures, or past 
accomplishments with the intent and purpose of 
enhancing qualifications and work. 

(g) The Professional Engineer and Registered Land 
Surveyor shall perform services in an ethical and lawful 
manner and: 

(1) Shall not knowingK associate with or permit the 
use of the registrant's name or firm name in a 
business venture by any person or firm which the 
registrant knov\s. or has reason to believe, is 
engaging in business or professional practices of a 
fraudulent or dishonest nature. 

(2) If the registrant has know ledge or reason to believe 
that another person or firm may be in violation of 
any of these provisions or of the North Carolina 
Engineering and Land Surve> ing Act. shall present 
such information to the Board in writing and shall 
cooperate with the Board in furnishing such further 
infomiation or assistance as may be required by the 
Board. The registrant shall timeK respond to all 
inquiries and correspondence from the Board and 
shall timeK claim correspondence from the U.S. 
Postal Service, or other delivery service, sent to the 
registrant from the Board. 

(h) A Professional Engineer or Registered Land Surve\or 
whose professional registration is revoked or suspended b\ 
another jurisdiction, shall be subject to discipline by the Board 
if the registrant's action violates Chapter 89C of the North 
Carolina General Statutes or these rules. 



.0901 OFFICES 

(a) Professional Engineering Services. Even, firm, 
partnership, corporation or limited liability company which 
perfonns or offers to perfonn engineering services in the State 
of North Carolina shall have a resident registered Professional 
Engineer in responsible charge in each separate office in 
which professional engineering services are perfonned or 
offered to be performed. 

(b) Land Surveying Services. Every firm, partnership, 
corporation or limited liability company which performs or 
offers to perform land surveying services in the State of North 
Carolina shall have a resident Registered Land Surveyor in 
responsible charge in each separate office in which land 
surveying services are performed or offered to be perfonned. 

(c) Resident. A resident registered Professional Engineer 
or Registered Land Surveyor as used in this Rule, means a 
licensee who spends a majority of the licencee's nonnal 
working time in said place of business. Such time shall not be 
less than a majority of the operating hours of the business. A 
registered Professional Engineer or Registered Land Surveyor 
shall be the resident licensee at only one place of business at 
one time. 

(d) No firm, partnership, corporation or limited liability 
compan\ shall practice, or offer to practice, or market either 
land surveying or engineering unless there is a registered 
resident for that ser\ ice in responsible charge at that said place 
of business. Ad\ertisements, signs, letterheads, business 
cards, directories, or any other form of representation shall 
avoid any reference to any service that cannot be provided 
under th responsible charge of a properly qualified resident 
professional. 

History Note: Authorit}- G.S. 57C-2.UI: 89C-IU: 89C-24: 

Efl Fehniary I. 1976: 

Reudopted Eff. September 29. 19"': 

Amended Eff. .-Iiistisi 1. 1998: May 1. 1994: Jamiaiy 1, 1992: 

April 1. 1989: January 1. 1982. 

SECTION .1100 -SEAL 

.1102 DESIGN 

The standard design of the seal shall be two concentric 
circles in which North Carolina and the name of the registrant 
are placed within the outermost circle and in which the 
registration number of the registrant and either "Professional 
Engineer" or "Registered Land Surveyor," is placed w ithin the 
innermost circle. The size shall be approximately I 3/4 inches 
in diameter. 



Histoiy Note: A iithority G. S. 89C- 1 ": 89C-20: 

Eff. February 1. 19-6: 

Readopted Eff. September 29, 1977: 

Amended Eff. Ausiist L /9yj?.- November 2. 1992: April 1. 

1989: Januaiy 1. 1982: Mareh 1. 19-9. 

SECTION .0900 - BUSINESS ORGANIZATIONS: 
GENERAL 



Histoiy Note: Authority U.S. 89C-10: 89C-16: 

Eff. Februaiy 1. 19^6: 

Readopted Eff September 29. 1977: 

Amended Eff: August 1. 1998: .April 1. 1989: Januaiy 1 . 1982. 

.1103 STANDARD CERTIFICATION 

REQUIREMENTS 

(a) Certification. The seal of a registrant on a map, 
dravMng. plan, specification, plat, or report shall signif\ that 



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APPROVED RiLES 



it is the final work of the retzistrant unless the work is stamped 
or clearl_\ marked as "preliminary work" as follows: 

( 1 ) "Preliminar> - Do not use for construction". 

(2) "Progress Drawings - Do not use for construction". 

(3) "Preliminan. Plat - Not for recordation. 
con\e\ances. or sales". 

(4) "Final Draw ing - Not released for construction". 

(5) "Final Drawing - For Re\iew Purposes Onl\". 

(b) Certification of Final Drawings. Certification is not 
required for "preliminar\ work." .All other drawings or maps 
shall conform to the following: 

( 1 ) Certification is required on reproducibles or 
original drawings. 

(2) The seal ma\ be a rubber stamp, embossed seal, 
computer-generated seal, or other facsimile that 
becomes a permanent addition to a plan sheet or 
map. 

(3) The registrant's written signature must be placed 
over, or near, the seal on the original document. .A 
facsimile signature is not acceptable. 

(4) The date of signing must be annotated on the 
original document. 

(.^) All sheets of engineering and sur\e\ing drawings 
must be sealed. 

(6) The name and address of the registrant's firm shall 
be included on each sheet of engineering drawings. 
For sur\ e\s. the registrant's name and address shall 
be included on the first sheet of the sur\e} or title 
sheet. 

(c) Certification of Specifications and Reports. 
Certification is not required for "preliminar> work." All other 
specifications and reports shall conform to the follow ing: 

(1) Certification is required on original specifications. 

(2 ) The seal ma_\ be a rubber stamp, or other facsimile. 

(3) The registrant's written signature must be placed 
o\ er. or near, the seal on the original document. A 
facsimile signature is not acceptable. 

(4) The date of signing must be annotated on the 
original document. 

(5 ) The title sheet of engineering specifications or other 
reports must be sealed and bear the name and 
address of the registrant's firm. The title sheet of 
an\ sur\e\ report or written description of property 
shall include the name and address of the 
Registered Land Sur\ e\ or. 

(d) Electronicall} transmitted drawings. Draw ings that are 
transmitted electronicalK to a client or a go\emmental agenc> 
shall ha\e the computer-generated seal removed from the 
original file. The electronic media shall ha\e the following 
inserted in lieu of the signature and date; This document 
originalK issued and sealed b\ (name of sealer), (registration 
number), on (Date of sealing). This media shall not be 
considered a certified document. 

Histoiy Xote: Aulhonry G.S. S9C-10: S9C-16: 

Eft: February I. 1 9' 6: 

Readopied EfJ. September 29. 19": 

Amended Eff. Angus i L 1998: February 1. 1996: May 1. 



1994: April 1. 1989: December 1. 1984: Jamtaiy 1. 1982. 

.1104 CERTIFICATION WITH TEMPORARY 
PERMIT 

.All plans, specifications, plats, and reports issued b\ a 
person holding temporan. registration in North Carolina, and 
for use in North Carolina, shall be stamped with the 
registrant's seal from the state where permanenth registered 
and in good standing. Directh beneath this seal, the registrant 
shall note the North Carolina Temporary Permit Number, 
written signature, and the date of signing. A facsimile 
signature is not acceptable. 

Hiswiy Sote: A iiihoriy G. S. 89C- 1 0: 89C- 1 6: 89C-25: 

Eft'. Februaiy 1. 19'6: 

Readopied Eff. September 29. 19": 

Amended Eff. August L 1998: Februaiy 1. 1996: April 1. 

1989:Januaiyl. 1982. 

.1106 CERTIFICATION OF STANDARD DESIGN 
PLANS 

Standard design plans must initialK be prepared and sealed 
b\ a Professional Engineer properK registered in the state of 
origin of such plans. Standard design plans ma\ then be 
re\ iewed b> a North Carolina Professional Engineer for code 
conformance, design adequac\. and site adaption for the 
specific application within North Carolina. The Professional 
Engineer who is registered in North Carolina assumes 
responsibilit} for such standard designs. Standard plans, 
which bear the seal of a Professional Engineer who is 
registered in another state, shall be sealed b\ the North 
Carolina resident Professional Engineer who is assuming 
responsibilit}. In addition to the seal, a statement shall be 
included as follows: "These plans ha\e been properK 
examined b\ the undersigned. 1 ha\e determined that the\ 
compK with existing local North Carolina codes, and ha\e 
been properK site adapted for use in this area." 

Hi.^ !oiy .Xote: A uthorit}- G. S 890- 1 0: 89C- 1 6: 

Eff. Februaiy 1 . 19-6: 

Re adopted Eff. September 29. 19": 

.Amended Eff. .August L 1998: April 1. 1989: December 1. 

1984: Januaiy 1. 1982. 

SECTION .1200 - RL LE-MAKING PROCEDL RES 

.1201 PETITIONS 

(a) .An_\ person wishing to submit a petition requesting the 
adoption, amendment or repeal of a rule b\ the Board shall 
send the petition to the executive secretan. at the Board's 
office in Raleigh. North Carolina. 

(b) The petition shall contain the following information: 

(1) a draft of the proposed rule: 

(2) reason for proposal: 

(3) effect on existing rules; 

(4) an> data supporting proposal: 

(5) effect of the proposed rule on existing practices in 
the area in\ol\ed. including cost factors: 



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(6) names of those most likeK' to be affected by the 
proposed rule, with addresses if reasonabK known; 
and 

(7) name and address of each petitioner. 

(c) A re\iew committee made up of one member of the 
Board, the executive secretarx and the legal counsel for the 
Board, on behalf of the Board, shall determine, based on a 
stud\ of the facts stated in the petition, whether the public 
interest will be served b_\ granting it. It shall consider all the 
contents of the submitted petition, plus anv additional 
information it deems relevant. 

(d) The executive secretarv. on behalf of the revievs 
committee, shall make a recommendation to the Board for the 
denial of the petition or the institution of rulemaking 
proceedings, as the case mav be. 

(e) Within 120 days of submission of the petition, the 
Board shall render a final decision. 

(f) If the decision is to denv the petition, the executive 
secretary, on behalf of the Board, will notify the petitioner in 
v\riting. stating the reasons therefore. If the decision is to 
grant the petition, the Board shall publish notice of rulemaking 
proceedings. 

Histoiy Note: Author in ■ G. S. 89C- 1 0: 1 508-20: 

Eff. February 1 . 19-6: 

Readopted Eff. September 29. 19--: 

Amended Elf. August L 1998: April 1. 19S9: .Jamiaij 1. 1982. 

.1203 HEARINGS 

(a) Unless otherwise stated in a particular rulemaking 
notice, hearings before the Board shall be held in the Board 
office. 

(b) Presentations ma> not exceed 10 minutes unless, upon 
request, either before or at the hearing, the Board grants an 
extension of time, for a fuller explanation. 

(c) Upon receipt of a request to make an oral presentation 
the executive secretarv shall acknowledge receipt of the 
request, and inform the person making the request of the 
imposition of anv limitations deemed necessarv to the end of 
a full and effective public hearing on the proposed rule. 

(d) Anv person mav file a written submission containing 
data, comments or arguments after publication of a rulemaking 
notice as allowed by G.S. 150B-2 1.2(f). Written submissions, 
except when otherwise stated in the particular rulemaking 
notice, shall be sent to the Board. Such submissions shall 
clearlv state the proposed rule(s) to which the comments are 
addressed. 

(e) Upon receipt of such written comments, prompt 
acknowledgment shall be made bv the Board. 

(f) The presiding officer at the hearing shall have complete 
control of the proceedings, including extensions of anv time 
requirements, recognition of speakers, time allotments for 
presentations, direction of the flow of the discussion and the 
management of the hearing. The presiding officer, at all 
times, shall take care that each person participating in the 
hearing is given a fair opportunity to present views, data and 
comments. 

(g) A record of all rulemaking proceedings shall be 



maintained at the Board's office. 

Histoiy Note: Authority G.S. 89C-10: 150B-21.2: 

Eff: Fehruaiy 1. 19' 6: 

Readopted Eff'. September 29. 19^ 7; 

.Amended Eff. .Ausust 1. 1998: April 1. 1989: January 1. 1982. 

.1205 DECLARATORY RULINGS 

(a) Any person substantiallv affected bv a statute 
administered or rule promulgated bv the Board mav request a 
declarator) ruling as to whether or how the statute or rule 
applies to a given factual situation or whether a particular 
agency rule is valid. 

(b) All requests for declaratorv rulings shall be written and 
mailed to the Board. 

(c) All requests for a declaratory ruling must include the 
following information: 

(1) name and address of petitioner; 

(2) statute or rule to w hich petition relates; 

(3) concise statement of the manner in which petitioner 
is aggrieved bv the rule or statute or its potential 
application to petitioner; 

(4) a statement of whether an oral hearing is desired, 
and if so. the reasons for such an oral hearing. 

(d) Whenever the Board believes for good cause that the 
issuance of a declarator}, ruling is undesirable, it mav refuse 
to do so. When good cause is deemed to exist, the Board shall 
notifv the petitioner of its decision in v\riting stating reasons 
for the denial of a declaratorv ruling. 

(e) Where a declaratory ruling is .;emed appropriate, the 
Board shall issue the ruling v\ithin 60 davs of receipt of the 
petition. 

(f) A declaratorv ruling procedure mav' consist of written 
submissions, oral hearings, or such other procedure as mav be 
appropriate in a particular case. 

Histoiy Note: Authority G.S. 89C-10: 150B-4: 
Eff. Fehruaiy I. 19-6: 
Readopted Eff. September 29. 1977; 
Amended Eff. Ausust 1. 1998. 

SECTION .1400 - CONTESTED CASES 

.1409 CONDUCT OF CONTESTED CASE 

(a) Failure to Appear: 

(1) If a party served with notice requests a hearing 
w ithin the time required and fails to appear w ithout 
ha\ ing notified the Board, and no continuance or 
adjournment is ordered, the party is considered to 
hav e waived the right to appear at the hearing and 
the Board mav proceed with the hearing in the 
partv's absence. 

(2) If the absent party is the onlv party other than the 
Board, the Board mav proceed w ith the hearing and 
make its decision in the partv's absence. 

(3) Continuances and adjournments shall be granted to 
a partv onlv in compelling circumstances and for 
hardship noted. 



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(4) If a hearing is conducted or a decision reached in 
the absence of a part\. that part\ nia\ petition the 
Board for a reopening of the case. Petitions will 
not be granted, except when petitioner can show 
that the reasons for the failure to appear were 
justifiable and that fairness requires reopening of 
the case. The decision made h\ the Board w ill be in 
writing. A cop_\ will be sent to the petitioner and 
made a part of the record of the contested case. 

(b) Simplification of Issues. The parties to a contested case 
ma> agree in ad\ance to simplit\ the hearing b\ eliminating 
issues to be contested at the hearing, accepting the \alidir> of 
certain proposed evidence, accepting the findings in some 
other case w ith relevance to the case at hand, or agreeing to 
such other matters as ma% expedite the hearing. 

(c) Subpoenas: 

( 1 ) The executive secretary shall issue subpoenas in the 
Board's name. 

( 2 ) Subpoenas requiring the attendance of w itnesses. or 
those to produce documents. e\ idence. or things, 
will be issued b\ the executive secretan. within five 
business da\ s of the receipt of a request from a 
part} to the case for such subpoena. 

(3) An\ person receiving a subpoena from the Board 
mav object thereto b\ filing a written objection to 
the subpoena with the Board. Such objection must 
include a concise, but complete statement of 
reasons v\h\ the subpoena should be revoked or 
modified. These reasons mav include lack of 
relevancv of the evidence requested, lack of 
particularirv in the description of the evidence 
sought, or anv other reasons sufficient in law for 
holding the subpoena invalid, such as that the 
evidence is privileged, that appearance or 
production v\ould be so disruptive as to be 
unreasonable in light of the significance of the 
ev idence sought, or other undue hardships. 

(4) The objecting witness shall serve the objection on 
the part} who requested the subpoena as soon as the 
objection is filed v\ ith the Board. 

(5) The part\ requesting the subpoena, within five 
davs. ma\ file a written response to the objection. 
The response shall be served in like manner as the 
objection. 

(6) After receipt of the objection and response thereto, 
if anv. the Board shall issue a notice to the panv 
who requested and the part) challenging the 
subpoena, and mav notifv all other parties of an 
open hearing, to be scheduled as soon as 
practicable, at which time evidence and testimonv 
mav be presented limited to the questions raised bv 
the objection and response, if anv . 

(7) PromptK after the close of such hearing, the Board 
will rule on the challenge and issue a written 
decision. .A copv of this decision will be issued to 
all parties and made a part of the record. 

Hisrorv .\()!e: Aiifhorin- G.S. 89C-10: 89C-21: S9C-:2: 



I5UB-3H: 150B-39: 15UB-4U: 

Efl Februan- 1. 19~6: 

Reudopied Eff. September 29. 19": 

Amended Efl Ausmt L 1998: April 1. 1989: December 1. 

19S4: January I. 1982. 

.1411 DEPOSITIONS 

Depositions shall be taken in accordance with the North 
Carolina Rules of Civil Procedure. 

Hiskvy .\o!e: Aiithorin- G.S. 89C-10: 89C-21: 89C-22: 

150B-39ia): 

EfT. February 1 . 19~6: 

Readopied Eff. September 29. 19": 

Amended Eff. August 1 . 1998. 

SECTIO.N .1600 - STANDARDS OF PRACTICE FOR 
LAND SURVEYING IN NORTH CAROLINA 

.1602 SURVEYING PROCEDL RES 

(a) A Registered Land Survevor shall spend the necessar. 
time and effort to make adequate investigation to determine if 
there are encroachments, gaps, lappages. or other irregularities 
along each line surveved. Points ma\ be placed on the line 
from nearbv closed or verified traverses and the necessarv 
investigations made from these points. If these investigations 
are not made, then the survevor shall not certify to an actual 
survev of that line and the plat must contain the appropriate 
qualifications in accordance w ith these standards. 

(b) .Anv and all visible or determined encroachments or 
easements on the properrv being surveved shall be accuratelv 
located and clearK indicated. \\ ith respect to recorded 
easements, the survevor shall, at a minimum, examine the 
most recent deeds and recorded plats adjacent to the subject 
properrv as well as all deeds and plats recorded after the date 
of the deed or plat upon which the survev is being based. 

(c) Except as provided in Paragraph (d) of the Rule, metal 
stakes or materials of comparable pennanence shall be placed 
at all comers. 

(d) Where a comer falls in a right-of-v\a_v. in a tree, in a 
stream, or on a fence post, boulder, stone, etc.. one or more 
monuments or metal stakes shall be placed in the boundan. 
line so that the inaccessible point mav be located accuratelv on 
the ground and the map. Comers of a properrv line on a road 
right-of-wav or margin shall be monumented at the points of 
entr> and exit. The intemiediate comers need not be 
monumented if due to proximate location to the entrv- and exit 
points, thev ma\ be confused with the entr\ and exit points. 

(e) The results of a survev when reported to the user of that 
survev. whether in written or graphic form, shall be prepared 
in a clear and factual manner. All reference sources shall be 
identified. Artitlcial monuments called for in such reports 
shall be described as found or set. When no monument is 
found or set for points described in Paragraph (d) of this Rule, 
shown in such reports, that fact shall be noted. 

(f) Where the results of a survev are reported in the form of 
a plat or a written description, one or more comers shall, bv a 
sv stem of azimuths or courses and distances, be accuratelv 



156 



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13:1 



APPROVED RULES 



tied to and coordinated with a horizontal control monument of 
some United States or State Agenc> surve\ s>stem. such as 
the North Carolina Geodetic Surve\ . where such monument is 
within 2000 feet of the subject property', right-of-way, 
easement or other surveyed entity \ Where the North Carolina 
grid system coordinates of said monument are on file in the 
North Carolina Department of Environment and Natural 
Resources, the coordinates of both the referenced comer or 
point and the monument(s) shall be shown in X (easting) and 
Y (northing) coordinates on the plat or in the written 
description or document. The coordinates shall be identified 
as based on 'NAD 83'. indicating North American Datum of 
1983 or as 'NAD 27' indicating North American Datum of 
1927. The tie lines to the monuments must be sufficient to 
establish true north or grid north bearings for the plat or 
description if the monuments exist in pairs. Control 
monuments within a previously recorded subdivision may be 
used in lieu of grid control. In the interest of bearing 
consistencN with previousK recorded plats, existing bearing 
control ma\ be used where practical. In the absence of Grid 
Control, other natural or artificial monuments or landmarks 
shall be used. In all cases, the tie lines shall be sufficient to 
accuratel> reproduce the subject lands from the control or 
reference points used. 

(g) Area is to be computed b>' double meridian distance or 
equalK accurate method and shown on the face of the plat, 
written description or other document. Area computations b> 
estimation, by planimeter. by scale, or b\ cop\ing from 
another source are not acceptable methods, except in the case 
of tracts containing inaccessible areas and in these areas the 
method of computation will be clearly stated. 



ratio of precision shall not exceed an error of 
closure of one foot per 20,000 feet of perimeter of 
the parcel of land ( 1 ;20,000). 

(2) Urban Land Surveys (Class A). Urban surveys 
include lands which normally lie within a town or 
city. For Class A boundary surveys in North 
Carolina, the angular error of closure shall not 
exceed 20 seconds times the square root of the 
number of angles turned. The ratio of precision 
shall not exceed an error of closure of one foot per 
10,000 feet of perimeter of the parcel of land 
(1:10,000). 

(3) Suburban Land Surveys (Class B). Suburban 
surveys include lands in or surrounding the urban 
properties of a town or city. For Class B boundary 
surveys in North Carolina, the angular error of 
closure shall not exceed 25 seconds times the 
square root of the number of angles turned. The 
ratio of precision shall not exceed an en^or of 
closure of one foot per 7,500 feet of perimeter of 
the parcel of land (1 :7,500). 

(4) Rural and Farmland Surveys (Class C). Rural and 
familand surveys include lands located in rural 
areas of North Carolina and generall},' outside the 
suburban properties. For Class C boundars' surveys 
in North Carolina, the angular error of closure shall 
not exceed 30 seconds times the square root of the 
number of angles turned. The ratio of precision 
shall not exceed an error of closure of one foot per 
5,000 feet of perimeter of the parcel of land 
(1:5.000). 



History Mote: A ulhorit}- G. S. 89C- 1 0: 89C-2 1 : 

Eff.Jiily I 19H9: 

Amended Eff. August L 1998: Fehruary 1. 1996. 

.1603 CLASSIFIC.'VTION OF BOUNDARY 
SURVEYS 

General. Boundary surveys are defined as surve> s made to 
establish or to retrace a boundary line on the ground, or to 
obtain data for constructing a map or plat show ing a boundan. 
line. For the purpose of this Rule the temi refers to all 
surveys, including "loan" or "physical" surveys, which involve 
the detennination or depiction of property lines. For the 
purpose of specify ing minimum allov\able surve\ing standards 
for boundan. surveys, the following four general 
classifications of lands in North Carolina are established from 
the standpoint of their real value, tax \alue. or location. Each 
map shall contain a statement of the calculated ratio of 
precision before adjustments. 

(1) Local Control Network Surveys (Class AA), Local 
control network surveys are traverse networks 
utilizing permanent points for the purpose of 
establishing local horizontal control networks for 
future use of local sur\e\ors. For Class A A 
boundary sur\e>s in North Carolina, the angular 
error of closure shall not exceed ten seconds times 
the square root of the number of angles turned. The 



History Note: Aiilliority G.S. 89C-IU: 89C-21: 

Eff:. July I. 1989: 

Amended Eff. August L 1998: November 2. 1 992: January 1. 

1992. 

SECTION .1700 - CONTINUING PROFESSIONAL 
COMPETENCY 

.1703 REQUIREMENTS 

Every registrant shall obtain 15 PDH units during the 
renewal period. If a registrant exceeds the annual requirement 
in any renewal period, a maximum of 15 PDH units may be 
carried forward into the subsequent renewal period. Selection 
of courses and activities which meet the requirements of Rule 
.1702 Item (4) of this Section is the responsibility of the 
registrant. Registrants ha\ e the option of selecting courses 
other than those offered by sponsors. Post evaluation of 
courses offered by other than sponsors as defined in Rule 
.1702 Item (6) of this Section may result in non-acceptance. 
PDH units may be earned as follows: 

( 1 ) Completion of college courses. 

(2) Completion of continuing education courses. 

(3) Completion of correspondence, tele\ised, 
videotaped, audiotaped, and other short 
courses tutorials. 

(4) Presentina or attending seminars, in-house courses. 



13:1 



NORTH CAROLINA REGISTER 



July L I99H 



157 



APPROl'ED RILES 



workshops. or professional or technical 
presentations made at meetings. con\entions or 
conferences. 
(.^) Teaching or instructing in Items ( 1 ) through (4) of 
this Rule. 

(6) Authoring published papers, articles, or books. 

(7) Acti\e participation in professional or technical 
societies. 

(8) Patents. 

(9) Authoring exam questions accepted for use in the 
national engineering or land sur\ e\ ing exam. 

Hisioiy Snie: Auihorin- G.S. 89C-10lai: 89C-1~: 
Ef. December 1. 1994: 
Amended Eft: Ausust 1. 1998. 

CHAPTER 68 - CERTIFICATION BOARD FOR 
SLBSTANCE ABUSE PROFESSIONALS 

SECTION .0100 - GENERAL 

.0101 DEFINITIONS 

As used in the General Statutes or this Chapter, the 
following terms ha\e the following meaning: 

( 1 ) "Appro\ ed Supen isor" means a person w ho fulfills 
or is in the process of fultllling the requirements 
for this Board designation pursuant to Rule .021 1 
of this Chapter b_\ completing its academic, didactic 
and experiential requirements. 

(2) "Assessment" means identify ing and e\aluating an 
indiNidual's strengths, weaknesses, problems and 
needs for the de\elopment of a treatment plan for 
alcohol and drug abuse. 

(3) "Board" means the North Carolina Substance 
Abuse Professional Certification Board. 

(4) "Complainant" means a person who has tiled a 
complaint pursuant to these Rules. 

(5) "Consultation" means a meeting for discussion, 
decision-making and planning with other ser\ice 
pro\iders for the purpose of pro\iding substance 
abuse ser\ices. 

(6) "Crisis" means a decisi\e. crucial e\ent in the 
course of treamient that threatens, either directl_\ or 
indirectK related to alcohol or drug use. to 
compromise or destro\ the rehabilitation effort. 

(7) "Deemed Status Group" means those persons \sho 
are credentialed as a clinical addictions specialist 
because of their membership in a deemed status 
discipline. 

(8) "Full Time" means 2.000 hours per %ear. 

(9) "Hearing Committee" means a committee 
comprised of three members of the Board appointed 
b\ the President to hear an appeal from the Ethics 
Committee. 

(10) "Letter of Reference" means a letter that 
recommends a person for certification. 

(.11) "Membership In Good Standing" means a member's 
certification is not in a state of re\ocation. lapse, or 



suspension. Howe\er. an indi\idual whose 
certification is suspended and the suspension is 
stayed is a member in good standing during the 
period of the sta\. 

(12) "Passing Score" means the score set b\ the entit\ 
administering the exam. 

(13) "President" means the President of the Board. 

(14) "Referral" means identifying the needs of an 
individual thai cannot be met b> the counselor or 
agenc\ and assisting the indi\'idual to utilize the 
support SNStems and communit) resources 
available. 

(15) "Reprimand" means a formal written warning from 
the Board to a person making application for 
certitlcation b\ the Board or certified b\ the Board. 

(16) "Respondent" means a person who is making 
application for certification b\ the Board or is 
certified b\ the Board against whom a complaint 
has been filed. 

(17) "Substance Abuse Counseling Experience" means 
approved supervised experience that mav be full 
time or part-time, paid or voluntarv. and must 
include all of the 12 core functions (Rule .0205 of 
this Chapter) as documented bv a job description 
and superv isor's evaluation. 

(18) "Supervised Practical Training" means supervision 
to teach the knowledge and skills related to 
substance abuse professionals at a ratio of one hour 
of supervision to even. 10 hours of practice for 300 
practice hours. 

(19) "Suspension" means a loss of certification or the 
privilege of making application for certification. 

History Snte: Aurhorin G.S. 90-113.30: 90-113.33: 90- 

113.40: 90-113.41: 90-114.41A: 

Eft: .August 1. 1996: 

Temporary .Amendment Eff. \ovemher 15. 199~: 

Amended Eff. .August 1. 1998. 

.0102 BOARD MAILING ADDRESS 

Unless otherwise directed, all correspondence shall be 
mailed to the following address: 

North Carolina Substance .Abuse 
Professional Certitlcation Board 
P.O.Box 10126 
Raleigh. NC 27605. 

Hislaiy Sole: .Authority G.S. 90-113.30: 90-113.33: 
Eff. August 1. 1996: 
.Amended Eff. .Ausust 1 . 1998. 

SECTION .0300 - CLINICAL ADDICTIONS 
SPECIALIST 

.0301 SCOPE 

The rules in this Section applv to a person seeking 
certification as a clinical addictions specialist and a 
professional discipline seeking deemed status. 



158 



NORTH CAROLIXA REGISTER 



July L1998 



13:1 



APPROVED RULES 



HistonNote: Authority G.S. 113.30: 90-113.40:90- 

11 3.41 A: 

Temporajy Adoption Eff. November 15. 1997: 

Eft: Aiisiist 1, 1998. 

.0303 APPLICATION FOR DEEMED STATUS BY 
PROFESSIONAL DISCIPLINE 

(a) Any professional discipline seeking deemed status shall 
forward a letter of intent with a request for an application to 
become a deemed status organization to the Board. 

(b) As directed by the Board, the discipline shall provide 
the following: 

(1) Documentation that it meets the requirements of 
G.S. 90-1 13.41 A; 

(2) A cop\ of the ethical code and statement, if an\. it 
requires its members to sign indicating that the 
member will compl> with the discipline's code of 
ethics: and. an> substantiating data that supports the 
ethical process of the professional discipline; 

(3) Documentation describing the exam process each 
applicant must pass in order to be awarded the 
professional group's substance abuse specialty 
credential. 

(c) A discipline granted deemed status shall provide the 
name of any member whose credential is revoked, suspended 
or denied within 60 da>s from the date of action. 

(d) The professional discipline, to the extent allowed by its 
statutes and rules, shall provide an\ information requested by 
the Board that has been submitted to the professional 
discipline regarding the complaint against its member, 
subsequent to the disposition of the complaint. 

(e) If no infonnation has been received b\ the Board within 
six months, or the Board is not satisfied with the disposition 
of the complaint, the Board may initiate its own disciplinary 
action. 

Histoiy Note: A itlhority G. S. 90- 113.32: 90-113.33: 90- 
II 3. 41 A: 90-113.43: 

Temporary Adoption Eff. November 15, 1997; 
Eff.Aimist 1. 1998. 

SECTION .0600 - GROUNDS FOR DISCIPLINE AND 
DISCIPLINARY PROCEDURES 

.0603 INV ESTIGATION OF COMPLAINT 

(a) The Ethics Committee Chairperson, in consultation w ith 
the President and legal counsel, shall investigate the 
allegations in the complaint. The Chairperson ma\ appoint 
any person(s) or name a subcommittee to serve as the 
investigating entity and to prepare an investigative report. 

(b) The investigating entity ma\ contact the complainant 
and person against whom the complaint is made. 

(c) Upon completion of the investigation, the Ethics 
Committee Chairperson in consultation w ith the investigating 
entity may determine that: 

(1) The complaint is without merit. The Chairperson 
shall notify' the complainant that the complaint is 
dismissed. The Chairperson shall also notify the 



complainant of the procedure for appeal of the 

dismissal. 

(2) Upon completion of an investigation wherein the 

complaint is not dismissed, the investigating entity 

shall make a written report to the Ethics Committee. 

(d) Those Ethics Committee members who serve on the 

Board shall review the report and ma> take any of the 

following actions: 

( 1 ) Schedule a meeting with the respondent whereby 
the dispute may be settled through informal 
procedures; 

(2) Schedule a disciplinar\ hearing before the Board; 

(3) Dismiss the complaint; and 

(4) Remand the matter to the investigating entity in 
order to obtain additional evidence sufficient upon 
which to base a decision. 

Histon' Note: Filed as a Temporaty .Adoption Eff October 
23. 1 995 for a period of 1 80 days or until the permanent rule 
becomes effective, whichever is sooner: 
.Authority G.S. 90-113.33: 90-113.34: 90-113.44: 
Eff: Februaiy 1 . 1996: 
Amended Eff. Ausust I. 1998. 



TITLE 26 - OFFICE OF ADMINISTRATIVE 
HEARINGS 

CHAPTER 4 - CIVIL RIGHTS DIVISION 

SECTION .0200 - POLITICAL DISCRIMINATION 
COMPLAINTS 

.0202 CONTENT AND FILING PROCEDURES 

(a) Fonns for filing political discrimination complaints may 
be obtained from the Civil Rights Division, PO Drawer 27447, 
Raleigh, NC 27611-7447 or 919-733-0431. Any person 
w ishing to file a complaint of alleged political discrimination 
shall address the complaint to: 

Director of Civil Rights Division 

PO Drawer 27447 

Raleigh, NC 2761 1-7447 

(b) The complainant may tile a political discrimination 
complaint and related documents b\ facsimile (fax) 
transmission during regular office hours as defined in 26 
NCAC I .0102. The faxed complaints and documents shall be 
deemed a "filing" within the meaning of 26 NCAC 4 .0201(3) 
pro\ ided the original complaint or documents are received by 
the Civil Rights Division within five business days following 
the faxed transmission. 

(c) The complaint shall include the follow ing infonnation: 

(1) Full name, address and telephone number (work 
and home) of person making the complaint; 

(2) Full name, address and telephone number of the 
agency against whom the complaint is made (the 
respondent); 

(3) The basis of the complaint (hiring or promotion); 



13:1 



NORTH CAROLINA REGISTER 



July /, 199H 



159 



APPROVED RULES 



(4) The date the alleged discrimination occurred: 

(5) The name(s) of the indi\idual(s) hired or promoted; 

(6) A statement disclosing the particulars of the 
employment decision: 

(7) The signature of the person making the complaint: 
and 

( 8 ) The date the complainant signed the complaint. 

Hisrorv Sote: Authorin- G.S. 'A-'Sl : 126-14 4: 
Tempovan- Adoption Etf. Jamtaiy 1. 1998: 
Eff. Aiisust L 199S. 



160 



NORTH CAROLINA REGISTER July L 1998 ^•^•^ 



RULES REl IE H COMMISSION 



1 his Section contains the agenda for the next meeting of the Rules Review Commission on Thursday. July 23. 1 998. 10:00 
a. m. . at 130~ GlemvoodAve.. Assembly Room. Raleigh. NC. Anyone wishing to submit written comment on any rule before 
the Commission should submit those comments to the RRC staff, the agency, and the individual Commissioners by Monday. 
.July 20. 1 998. gl 5:00 p.m. Specific instructions and addresses may be obtained from the Rules Review Commission at 919- 
'33-2^21. .Anyone wishing to address the Commission should notif- the RRC staff and the agency at least 24 hours prior to 
the meeiim;. 



RULES REVIEW COMMISSION MEMBERS 



Appointed by Senate 

Teresa L. Smallwood. Vice Chairman 

Jim Funderburke 

Vemice B. Howard 

Philip O. Redwine 

David Twiddy 



Appointed by House 

Paul Powell. Chairman 

Anita White. 2"'' Vice Chainnan 

Mark Garside 

Steve Rader 

George Robinson 



RULES REVIEW COMMISSION MEETING DATES 



July 23. 1998 
August 20. 1998 
September 17. 1998 



October 15, 1998 
November 19. 1998 



MEETING DATE: JULY 23, 1998 

LOG OF FILINGS 

RULES SUBMITTED: MAY 20, 1998 THROUGH JUNE 20, 1998 



AGENCY/DIVISION RULE NAME 

DHHS/SECRETARY OF DHHS 

Go\ernor Morehead School Campus Parking 

DHHS/DIVISION OF MEDICAL ASSISTANCE 

Rate Setting Methods 

DRG Rate Setting Methodology 

Ph\sician's Fee Schedule 



RULE CITATION 



10NCAC21B .0117 



10NCAC06H .0102 
10NCAC06H .0211 
10NCAC26H .0401 



ACTION 



Adopt 



Amend 
Amend 
Amend 



DENR/COASTAL RESOURCES COMMISSION 

Use Standards 



LSNCAC07H .0310 



Amend 



DENRAVILDLIFE RESOURCES COMMISSION 

Brunsv\ ick County 

Granville. Vance & Warren Counties 

Stanl) Count) 

Monttiomei'v Countv 



l.SNCAC 10F.0305 Amend 

l.SNCAC 10F.0311 Amend 

15NCAC 10F.0317 Amend 

15NCAC 10F.0327 Amend 



DENR/COMMISSION FOR HEALTH SERVICES 

Detl nit ions 

Persistent Elevated Blood Lead Level 

Examination and Testing 

ln\estigation 

Lead Poisoning Hazard 

Abatement and Remediation 



15NCAC 18A.3101 Amend 

I5NCAC 18A .3102 Amend 

15NCAC 18A.3I03 Amend 

I5NCAC I8A.3104 Amend 

15NCAC I8A.3105 Amend 

15NCAC 18A .3106 Amend 



13:1 



NORTH CAROLINA REGISTER 



July y. 199H 



161 



RILES RE\ lEH COMMISSION 



Maintenance Standard 

Application and Issuance of Certificate 

Revocation and Denial of Certitlate 

Monitoring 

Resident Responsibilities 



COSMETIC ART EXAMINERS, BOARD OF 

Address 



15NCAC 18A.3107 
15NCAC 18A.3108 
15NCAC 18A.3109 
15NCAC 18A .3110 
15NCAC 18A.3111 



21 NCAC 14A.0104 



Adopt 
Adopt 
Adopt 
Adopt 
Adopt 



Amend 



OFFICE OF ADMINISTRATIVE HEARINGS 

Content and Filine Procedures 



26 NCAC 04 .020: 



Amend 



RULES REVIEW COMMISSION 

June 18, 1998 
MINLTES 

The Rules Re\ie\\ Commission met on June 18. 1998. in the Rules Re\ie\s Commission Conference Room of the Methodist 
Building. 1307 Gienwood Avenue. Raleigh. North Carolina. Commissioners in attendance were Vice Chairman Teresa L. 
Smallwood. Vemice B. Howard. George S. Robinson. Jim R. Funderburk. Ste\en P. Rader. and Da\id R. T\\idd\ (b\ phone). 

Staff members present were: Joseph J. DeLuca. Staff Director: Bobb> Br} an. Rules Re\iew Specialist: and Sand> Webster. 

The follow ing people attended: 



Valerie Chaftln 
Charlotte Hall 



Hunton & Williams 
DHHS .VIH DD SAS 



APPROVAL OF MINLTES 

The meeting was called to order at 10:20 a.m. with Vice Chaimian Smallwood presiding. She asked for an> discussion, 
comments, or corrections concerning the minutes of the Ma> 21.1 998 meeting. There being none, the minutes were appro\ed. 

FOLLOW-UP MATTERS 

10 NCAC 41. A .0007 - DHHS Social Services Commission: The agenc\ responded that the\ needed additional time and would 
respond at next month's meeting. 

10 NCAC 478 .0102 - DHHS, Social Ser\ices Commission: The rewritten rule submitted b_\ the agenc_\ was appro\ed b\ the 
Commission. 

12 NCAC 7D .0204 - JUSTICE MC Private Protective Services Board: The rewritten rule submitted b_v the agencv v\as approved 
bv the Commission 

12 NCAC 7D .1 106 ~ JUSTICE NC Private Protective Services Board: The revsritten rule submitted bv the agencv was approved 
bv the Commission 

15ANCAC lOG .0404- DENR Wildlife Resources Commission: The extended period of review had expired. The Commission 
objected to this rule due to lack of statutory authority and ambiguitv. This objection applies to existing language in the rule. 

LOG OF FILINGS 

ViceChairman Smallwood presided over the review of the log and all rules were approved with the following exceptions: 

10 NCAC 14G .0102 - DHHS Commission for MH DD S.AS: The Commission objected to this rule due to lack of statutor> 
authority and ambiguitv. In (b)(4I )(B). it is not clear what protective intervention techniques are specified in the "Protective 
Intenention Course Manual." There is no authoritx for limiting what is meant bv "restraint" outside of rulemaking. The added 



162 



NORTH CAROLINA REGISTER 



July I, 1998 



Js>:l 



RULES REVIEW COMMISSION 



sentence in (b)(42) is unclear. The provision is a definition of "seclusion." The sentence is written as a list of three things that 
are not "seclusion." but the last two appear to be situations when "seclusion" should not be used rather than a limitation on the 
term. This objection applies to existing language in the rule. 

COMMISSION PROCEDURES AND OTHER MATTERS 

The next meeting will be on JuK 23. 1998 which is one week later than normal. 

The meeting adjourned at 10:40 a.m. 

Respectfully submitted, 
Sandv Webster 



13:1 NORTH CAROLINA REGISTER July L 1998 163 



CONTESTED CASE DECISIONS 



1 his Section coniaiiis the till I text of some of the mofe significant Adminisirative Lci\r Judge decisions along with an index 
to all recent contested cases decisions which are filed under North Carolina's Administrative Procedure Act. Copies of the 
decisions listed in the index and not published are available upon request for a minimal charge by contacting the Office of 
Adminisirative ffearings. (919) '33-2698. 



OFFICE OF ADMINISTRATIVE HEARINGS 

Chief .Administrative Law Judge 

JULIAN MANN. Ill 

Senior .Administrative Law Judge 

FREDG. MORRISON JR. 

.4DMIMSTRA Til E LA H JUDGES 



Brenda B. Becton 
Sammie Chess Jr. 
Beecher R. Gray 

Melissa Owens 



Meg Scott Phipps 

Robert Roosevelt ReilK Jr. 

Dolores O. Smith 



CRIME CONTROL AND PlBl IC S AFET\ 

Mia Thompson-Clark \ Crime Victmis Compcnsalion Commission 

E\\ IRONMENT AND NATl RAL RESOl RC ES 

John M Silvia v Department ot En\ ironment and Natural Resources 
Scotland Water, Cedar Circle \ Environment and Natural Resources 

HEALTH AND HI \L\N SER\ K ES 

Louise Streater \ Health and Human Serv ices 

Division ofFacitity Services 

Diane Lingard \ DHR Facilitv S\cs. Health Care Personnel Reg 

Sunlite Retirement Home. W innie .lane .lohnson \ DHR. Facilitv Ser\ ices 



CASE 




Nl MBER 


\L.J 


98 CPS 0.^49 


Chess 


97EHR 1646 


Chess 


9S EUR (036 


Smith 


98 DHR 0196 


Gra\ 


98 DHR 11214 


Becton 


98 DHR 1)124 


Phipps 



D\TEOK 
DE( IMON 



05/14/98 



06/03/98 
06/09/98 



06/03/98 



06/22/98 
06/11/98 



PI BLISHEDDEC ISION 
REGISLERC LI VTION 



Division of .Social .Services 

Ctiild Support Enforcement Section 
Donald L Carr. Jr v Department of Human Resources 
Alton D Bagles \ Department of Human Resources 
Bemel B Bern J r \ Department of Human Resources 
W ade A Burgess \ Department ol Human Resources 
Terita M Sharpe v Department of Human Resources 

JLSTKE 



98 CRA 0545 


Reilh 


06/08/98 


97CSE 1424 


Chess 


06/02/98 


97CSE 1435 


Smith 


06/12/98 


98CSE0071 


Mortison 


06/12/98 


98 DCS 0468 


Morrison 


06/09/98 



Education and Traininii Standards Division 

William Scon Ke\ \ Sheriffs' Education & Traininu Standards Comm 



98 DO.I 043 



Becton 



06/08/98 



STATE PERSONNEL 

Crime Control and Public Safety 

Roeer D DaMS \ Crime Control & Pulilic Safet\, St H\u Patrol 



97OSP06I7 



Chess 



05/27/98 



164 



NORTH CAROLINA REGISTER 



July I, I99H 



13:1 



CONTESTED CASE DECISIONS 



AGENCY 

Employment Security Commission 

Jane B Bolin and Arlene G Sellers v Eniplo\ment Securm Commission 
Jane B Bolm and Arlene G Sellers v Emplo\ment Securm Commission 

Environment and Natural Resources 

Charles Anthon\ Bruce \ ENR. Di\ ision of Parks and Recreation 

Health and Human Services 

Anihon\ M Ruiz \ Department of Health &. Human S\cs- Youth Svcs. 

I niversity of North Carolina 

Deborah . I Fenner \ NC Central Uni\ersit\ 
Douglas Lo\e. Jr v UNC Hospitals 

STATE TREASl RER 

Hugh A Wells \ Consolidated Judicial Retirement S\stem of NC. 
Bd of Trustees Teachers and State Emplo\ees' Retirement S\stem 



CASE 




MMBER 


ALJ 


97 0SP 1122'' 


Chess 


97 0SP 1134*' 


Chess 


98 OSP 0240 


Reill) 


98 OSP 0454 


Gray 


97 OSP 0902 


Chess 


97 OSP 0662 


Reilh 


98DST0316 


Morrison 



DATE OF 
DE( ISION 



06/02/98 
06/02/98 



06/08/98 



06/04/98 



05/29/98 
06/08/98 



06/05/98 



PI BLISHED DECISION 
REGISTER CITATION 



1301 NCR 166 



TRANSPORTATION 

Da\ id Warren Dew et a) v. Motor Vehicles. Alexander killens Comm 



95 DOT 1144 



Gray 



06/04/98 



Consolidated Cases. 



I ill 



NORTH CAROLINA REGISTER July /, 199H 



165 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 



COINT^ OF\NAKE 



IN THE OFFICE OF 
ADMINISTRATIN E HEARINGS 

98 DST0316 



HIIGH A. WELLS, Judge of the North Carolina Court 
of Appeals (Retired), 
Petitioner, 



V. 



CONSOLIDATED ,U DICIAL RETIREMENT S\ STEM 
OF NORTH C AROLINA, a corporation; BOARD OF 
TRl STEES OF THE TEACHERS' AND STATE 
EMPLOY EES' RETIREMENT SYSTEM OF NORTH 
CAROLINA, etal.. 
Respondent. 



RECOMMENDED DECISION 



Tims Ma ri kr was heard before Fred Morrison Jr.. Senior Administrative Law Judge, Office of Administrative 
Hearings, on April 24. and June 3. 1 998. in Raleigh. North Carolina, on the parties' cross-motions for a Recommended Decision 
in the Nature of Summan, Judgment. 

APPEARANCES 



For Petitioner: 



Marvin Schiller, Attomev at Law, and G. Eugene Boyce, Attomev at Law, both of Raleigh, North 
Carolina. 



For Respondents: 



Alexander McC. Peters. Special Deputv Attomev General, N.C. Department of Justice, Raleigh, 
North Carolina. 



ISSUE 

Whether Respondents have properK applied the provisions of N.C. Gen. St.M. §§ l35-3(8)d and 135-52 to Petitioner. 

UNDISPUTED FACTUAL BACKGROLND 

The facts of this contested case are undisputed. Petitioner is a retired judge of the North Carolina Court of Appeals. 
Judge Wells became ajudge of the Court of Appeals on or about August 29. 1979. and served in that position until June 30. 1994. 
While ajudge of the Court of Appeals. Judge W ells was a member of and made regular monthK contributions to the Consolidated 
Judicial Retirement Svstem of North Carolina (""CJRS"). v\hich is created and governed bv the provisions of Article 4 of N.C. 
Gl£N. Stat. Chapter 135. Petitioner retired on a service retirement from his position as Judge of the Court of Appeals pursuant 
to the provisions of N.C. Gen. St.at. §§ 1 35-57 and -58. effective July 1 . 1 994. and he began to draw a S5. 1 82 monthlv retirement 
allowance from CJRS as of that date. He v\as automatically retired because he reached the age of 72. 

Also on or about Julv 1. 1994. Judge Wells accepted an appointment from Governor James B. Hunt as chairman of the 
North Carolina Utilities Commission at a monthlv salarv of S6.781. He served in that position until December 31. 1996. 
Beginning the month after Judge Wells accepted appointment as chairman of the Utilities Commission, the CJRS suspended his 
monthK retirement allowance pursuant to N.C. Gen. St.ai. § 135-3(8)d. which provides, in pertinent part: 

Should a beneficiap. who retired on an early or serv ice retirement allowance under this Chapter be restored 
to service as an emplovee or teacher, then the retirement allowance shall cease as of the tlrst of the month 
following the month in which the benetlcian. is restored to service and the beneficiarv shall become a member 
of the Retirement System and shall contribute thereafter as allowed bv law at the unifomi contribution payable 
b> all members. 

Prior to retiring from the court. Judge Wells had several communications w ith the retirement s\ stem's director as to how 
his benefits would be affected if he retired and subsequentlv was appointed to chair the Utilities Commission. He was ad\ ised 
that hisjudicial benefits would be suspended as long as he served as chairman, but if he delaved the L'tilities" appointment for 
one month and received a retirement benefit check, his wife would be vested in the svstem and be elitiible for a monthlv benefit 



166 



NORTH CAROLINA REGISTER 



Julv L 1998 



13:1 



CONTESTED CASE DECISIONS 



for life upon his death. Judge Wells chose this course of action and did not challenge the director's interpretations of Chapter 
135 during his decision-making process. 

Prior to his appointment to the Court of Appeals, Judge Wells had been employed by the North Carolina Utilities 
Commission. Judge Wells was initially employed with the Utilities Commission on January 1. 1970, and subsequentK became 
a member of the Teachers' and State Employees" Retirement System. He terminated his emplo\ment with the Utilities 
Commission on April 30. 1975. but later returned to emploNment with the Utilities Commission on Jul> I. 1977. He thereafter 
terminated employment again on August 1 7. 1 979. Judge Wells applied for a return of his accumulated contributions and was 
subsequentK paid a refund in the gross amount of S16.047.37 on Februar\ 27. 1980. Following his resignation as Chairman of 
the Utilities Commission, Judge Wells applied for and received a refund of his accumulated contributions to the Teachers' and 
State Employees' Retirement System in the gross amount of $12,587.56 on March 5, 1997. therebv closing his account. In late 
1996. Judge Wells notified the s>stem of his impending resignation and requested that his monthK judicial retirement benefits 
be restored effecti\e Januan. 1. 1997. which was done in the amount of $5,518.20 per month. 

On March 12. 1998. Judge Wells filed a petition in this office challenging the suspension of his Judicial retirement 
benefits from August 1994 through December 1996. 

CONCLUSIONS OF LAW 

1 . The sole issue presented in this contested case is whether the Retirement Systems Division. Department of State 
Treasurer ("the Division") and the Board of Trustees of the Teachers' and State Employees' Retirement Svstem ("the Board"), 
w hich administer both the Teachers" and State Emplovees' Retirement System and the Consolidated Judicial Retirement Svstem. 
have correctly applied the provisions of N.C. Gen. Stat. § 135-3(8)d to Judge Wells. 

2. The primar> statute at issue. N.C. Gen. Stat. § 135-3(8)d provides that: 

[sjhould a beneficiarv uho retired on an earl\ or service retirement allowance under this Chapter be restored 
to service as an emplovee or teacher, then the retirement allowance shall cease as of the first of the month 
follow ing the month in w hich the beneficiars is restored to serv ice and the beneficiarv shall become a member 
of the Retirement System and shall contribute thereafter as allowed b> law i the unifomi contribution pavable 
by all members. 

3. This statute is contained in Article 1 of N.C. Gen. Stat. Chapter 135, which governs the Teachers' and State 
Employees" Retirement System of North Carolina. The Consolidated Judicial Retirement System, of which Judge Wells was 
a member and from which his benefits would have been paid had the\ not been suspended, is governed b\ Article 4 of the same 
Chapter 135. 

4. Pursuant to N.C. GlN. Stat. § 135-1(6). a "'[b]eneficiar\' shall mean an\ person in receipt of a pension, an 
annuity, a retirement allowance or other benefit as provided by this Chapter." SimilarK. pursuant to N.C. Gen. ST.Vt. §§ 135- 
1(20) and -1(21). "'[r]etirement' shall mean the withdrawal from active service with a retirement allowance granted under the 
provisions of this Chapter." while a "'[rletirement allowance' shall mean the sum of the "annuity and the pensions." or any 
optional benefit pavable in lieu thereof" 

5. Effective JuK 1. 1994. Judge Wells was in receipt of a service retirement allovsance from the Consolidated 
Judicial Retirement S\stem pursuant to the pro\ isions of N.C. Gen, Stat. §§ 135-57 and -58. He was. therefore, in receipt of 
"a pension, an annuity, a retirement allowance or other benefit" under the provisions of Chapter 135. and accordingly he met 
the definition of "benefician," contained in N.C. Gen. St.AT. § 135-1(6) when he began work as Chairman of the Utilities 
Commission. 

6. Statutes governing the CJRS and its predecessors ~ the Uniform Judicial Retirement Svstem. the Uniform 
Solicitorial Retirement System, and the Uniform Clerks of Superior Court Retirement S\stem - ha\e been contained in Chapter 
135 since at least 1976. See 1973 Sess. Laws. Chapter 640: N.C. Gen. St.VI. Chapter 135. Article 4A (the Unifomi Solicitorial 
Retirement Act of 1974. now repealed): and N.C. GEN. St.at. Chapter 135. Article 4B (the Uniform Clerks of Superior Court 
Retirement Act of 1975. now repealed). 

7. "A long-standing rule of statutory construction declares that a facial 1_\ clear and unambiguous statute requires 
no interpretation." Taylor v. Cin of Lenoir. COA96-1485. slip op. at 8 (N.C. Court of Appeals. .April 7. 1998) citing Peek v. 
Finch. 284 N.C. 375. 382. 200 S.E.2d 635. 640 (1973). 



13:1 NORTH CAROLINA REGISTER July 1, 199H 167 



CO.XTESTED CASE DECISIOSS 



8. The pro\isions of N.C. Gen. Stat. § 135-3(8)d are "facialK clear and unambiguous."" The\ plainK state that 
when a person in receipt of a retirement benefit under an\ pro\ision of Chapter 135 becomes an acti\e teacher or State emplo\ee. 
then the benefit shall be suspended for the duration of the emplo>ment. and the person shall become a contributing member of 
the Teachers" and State Emplo>ees" Retirement System. AccordingK. the\ "must be enforced as written."" Tayior. COA96-1485. 
slip op. at 9. quoting Bowers v. City of High Point. 339 N.C. 413. 419-20. 451 S.E.2d 284. 289 (1994). After retiring. Judge 
Wells was restored to ser\ice as a State emplo\ee. 

9. The pro\isions of Article 4 of Chapter 135 reinforce the Di\ision"s position that it was required to appK the 
provisions of N.C. Gen. St.at. § 135-3(8)d to .ludge Wells. N.C. Gen. St.at. § 135-52(a). which is part of .Article 4. specificalK 
states that: 

References in .Article 1 of this Chapter to the provisions of "this Chapter"" shall not necessarily apply to this 
Article. Ho\ve\-er. except as otherwise provided in this Article, the provisions of Article 1 are applicable and 
shall apply to and govern the administration of the Retirement System established hereby. Not in limitation 
of the foregoing, the pro\isions of G.S. 135-5(h). 135-5(n). 135-9. 135-10. 135-12 and 135-17 are specificalK 
applicable to the Retirement S\stem established hereb\. 

(Emphasis added.) 

10. There are no pro%isions of Article 4 that would limit or exempt N.C. Gen. StaT. § 135-3(8)d from application 
to and go\emment of the Consolidated Judicial Retirement S\stem. (Br\an deposition, p. 58. lines 11-15) .Again, then, the clear 
and unambiguous pro\isions of N.C. Gen. St.at. § 135-52(a) require no interpretation and plainK require the Di\ision to appl_\ 
the provisions of N.C. Gen. St.at. § 135-3(8)d to Judge W ells. See Peek. 284 N.C. at 382. 200 S.E.2d at 640: Taylur. COA96- 
1485. slip op. at 8. 

1 1. "While it is not controlling, the construction gi\en a statute b\ the agenc\ charged with administering it is 
rele\ant e\idence of the statute's meaning."" Tcnior. CO.A96-I485. slip op. at 12. citing Comr. of Insurance v. Automobile Rate 
(y/7';Vt?. 294 N.C. 60. 241 S,E.2d 324 (1978). Moreover. 

[t]he construction placed upon a statute b\ the officers whose dut> it is to execute it is entitled to great 
consideration. especiall> if such construction has been made b\ the highest officers in the executi\e department 
of the Go\emment or has been obser\ed and acted upon for man\ \ears: and such construction should not be 
disregarded or oxerturned unless it is clearK erroneous. 

Taylor. COA96-1485. slip op. at 12-13. quoting Gill v. Commissioners. 160 N.C. 144. 153. 76 S.E. 203. 208 (1912). See also 
In re I'anderbilt Cniversit}: 252 N.C. 743. 747. 114 S.E. 2d 655. 658 (1960) ("[o]rdinaril>. the interpretation gi\en to the 
pro\isions of our tax statutes b> the Commissioner of Re\enue will be held to hs prima facie correct and such interpretation will 
be gi\en due and careful consideration b\ this Court""). 

12. .At his deposition. Timoth\ Bn.an. who is Deput\ Director of the Di\ ision and who has been employed in the 
Division since 1984. testified that the Division believes that its application of the pro\isions of N.C. Gen. St.at. §§ 135-3(8)d 
and -52(a) was required b> the clear language of the statute, and that the Di\ ision"s interpretation and application of these statutes 
in this wa\ dates back to the 1970"s. (Bi^an deposition, p. 22. lines 7-1 1: p. 23. line 12 - p. 24. line 25; p. 30. lines 16-18: p. 48. 
line 1 7 - p. 49. line 8) Petitioner has offered no e\ idence to contradict this testimonv . The construction and application gi\ en 
to N.C. Gen. St.at. §§ 135-3(8)d and -52(a) b\ the Di\ ision and the Board, as set forth in VIr. Br\an"s deposition, deserves "due 
and careful consideration."" Tcnior. CO.A96-1485. slip op. at 13. Indeed, it should be held to he prima facie correct, id.: and it 
"should not be disregarded or o\ertumed unless it is clearix erroneous."" Gill. 160 N.C. at 153. 76 S.E. at 208. Judge Wells 
apparently held it to be correct for more than three >ears. 

13. Petitioner has failed to demonstrate that Respondents" interpretation and application of the clear provisions 
of N.C. Gen. St.at. §§ 135-3(8)d and -52(a) is "clearK erroneous."" or that the presumption that it is prima facie correct should 
be disregarded. AccordingK. the Respondent's interpretation and application of these statutes in this matter should be found to 
be proper and indeed required b\ the plain language of these statutes. 

RECOMMENDED DECISION 

The Board of Trustees of the Teachers" and State Employees" Retirement S_\stem of North Carolina will make the Final 
Decision in this contested case. It is recommended that the Board adopt the conclusions of law set forth abo\e and determine 



168 NORTH C4R0LL\A REGISTER July f 1998 13:1 



CONTESTED CASE DECISIONS 



that Petitioner's retirement benefits from the ConsoHdated Judicial Retirement System were properlv suspended pursuant to N.C. 
Gen. Stat. § 135-3(8)d and 135-52. 

ORDER 

h is hereby ordered that the agency serve a copy of the final decision on the Office of Administrative Hearings, P.O. 
Drawer 27447, Raleigh. North Carolina. 27611-7447, in accordance with N.C. Gen. Stat. § 150B-36(b). 

NOTICE 

The agency making the final decision in this contested case is required to give each part) an opportunity to file 
exceptions to this recommended decision and to present written arguments to those in the agencN who will make the final 
decision. N.C. Gen. Stat. § 150B-36(a). 

The agency is required by N.C. GEN. Stat. § 150B-36(b) to serve a copy of the final decision on all parties and to 
furnish a copy to the parties" attorne\ of record and to the Office of Administrati\e Hearings . 

The agency that will make the final decision in this contested case is the Board of Trustees of the Teachers" and State 
Employees" Retirement System of North Carolina. 

This the 5"' dav of June. 1998. 



Fred G. Morrison Jr. 

Senior Administrative Law Judsze 



13:1 NORTH CAROLINA REGISTER July /, 1998 169 



,. 



SORTH CAROLI.XA ADMIMSTRA Til E CODE CL4SSIFICA TIO\ SYSTEM 



1 he North Caroh'na Administrative Code (NCACi has four major subdivisions of rules. Two of these, titles and 
chapters, are mandators The major subdivision of the NCAC is the title. Each major department in the North 
Carolina executive bratich of government has been assigned a title number. Titles are fiirther broken down into 
chapters which shall be numerical in order. The other t^vo. subchapters and sections are optional subdivisioi7S to 
be used by agencies when atvvopriatc. 



TITLE/MAJOR DIMSIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 
TITLE DEPARTMENT LICENSING BOARDS CHAPTER 



I 


Administration 


Acupuncture 


1 


-) 


Agriculture 


Architecture 


-> 


_t 


Auditor 


Athletic Trainer Examiners 


^ 


4 


Commerce 


Auctioneers 


4 


s 


Correction 


Barber Examiners 


6 


6 


Council of State 


Certitled Public Accountant Examiners 


8 


7 


Cultural Resources 


Chiropractic Examiners 


10 


8 


Elections 


Emploxee Assistance Professionals 


11 


9 


GoNemor 


General Contractors 


12 


10 


Health and Human Ser\ ices 


Cosmetic Art Examiners 


14 


11 


Insurance 


Dental Examiners 


16 


12 


Justice 


Dietetics 'Nutrition 


17 


13 


Labor 


Electrical Contractors 


18 


14A 


Crime Control &. Public Safet\ 


ElectroKsis 


19 


15 A 


En\ ironment and Natural 


Foresters 


20 




Resources 


Geologists 


21 


16 


Public Education 


Hearing Aid Dealers and Fitters 


-)-) 


17 


Revenue 


Landscape Architects 


2<S 


18 


Secretary of State 


Landscape Contractors 


28 


IQA 


Transponation 


Marital and FamiK Therapv 


.^1 


20 


Treasurer 


Medical Examiners 


■^-) 


*21 


Occupational Licensing Boards 


Midwifep. Joint Committee 


33 


"I -) 


Administrative Procedures 


Mortuar. Science 


34 


-) "^ 


Communit) Colleges 


Nursing 


36 


24 


Independent Agencies 


Nursing Home Administrators 


37 


25 


State Personnel 


Occupational Therapists 


38 


26 


Administrative Hearings 


Opticians 


40 


27 


NC State Bar 


Optometr> 


42 






Osteopathic Examination & Reg. (Repealed) 


44 






Pastoral Counselors. Fee-Based Practicing 


45 






Pharmacv 


46 






Physical Therapv Examiners 


48 






Plumbing. Heating & Fire Sprinkler Contractors 


50 






Podiatry Examiners 


52 






Professional Counselors 


53 






Ps\cholog\ Board 


54 






Professional Engineers & Land Sur\e\ors 


56 






Real Estate .Appraisal Board 


57 






Real Estate Commission 


58 






Refrigeration Examiners 


60 






Sanitarian Examiners 


62 






Social Work Certitlcation 


63 






Soil Scientists 


69 






Speech & Language Pathologists & .Audiologists 


64 






Substance .Abuse Professionals 


68 






Therapeutic Recreation Certification 


65 






\ctennar\ Medical Board 


hh 



Note: Title 2 1 contains the chapters of the various occupational hcensing boards. 



170 



NORTH CAROLINA REGISTER 



July /. 1998 



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